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7+ years financial industry experience within a U.S. regulated financial institution, specific work experience with broker-dealer federal and state regulations related to insider trading and/or conflicts of interest.
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In addition to leading the oversight of the swap dealer compliance program, the CCO will provide management and the Board with periodic updates, ensure adequate policies and procedures are in place, administer the firm’s training program, coordinate and oversee regulatory exams and requests and prepare the annual CCO report.
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A vendor compliance lead is responsible for identifying and investigating discrepant material. That, combined with our stylish products, expansive dealer and retail network, and dedicated associates, has helped make us the number one North American residential cabinet business.
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Ability to successfully complete dealer auditions in the games for which dealer has received training. Responsible for compliance in conducting the operation of one or more of the following games: Craps, Baccarat, Blackjack, Roulette, Mini Baccarat, Let It Ride, 3 Card Poker, Pai Gow Poker, and any variation of the above-mentioned games.
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Ensure compliance with Northwest Investment Services and broker dealer policies and procedures; obtain continuing education, as required. Ensure compliance with FINRA/SEC regulations and requirements (licensed representatives.
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The candidate will need to bring a high level of understanding HR/Payroll compliance and procedures, attention to detail, strong organization skills and ability to problem solve. Knowledge of Payroll and Dealer DMS software and computer programs.
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Adhere to all compliance standards as required by broker-dealer. Clean compliance record. Obeys all applicable federal laws, rules, and regulations relating to Anti-Money Laundering (AML) including the Bank Secrecy Act (BSA.
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5+ years experience in the financial investment services industry, preferably with an RIA or Broker-Dealer in the capacity of operations such as New Account setup, Asset Movement, Advisory Proposal Generation / Review.
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The individual would work closely with the manager ensuring timely and accurate accounting system reflection of COR/indirect programs on N-ERP/SAP system, alignment on VZ Contracts and dealer Term Sheets based on finalized terms, and maintain regular cadence of reviewing pending COR/dealer promotions.
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Assists in administration of wholesale and retail customer "loan" covenant compliance reviews, including on-site record and physical machine/inventory audits. Knowledge of billing, invoicing and dealer payment principles and concepts.
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Have previous experience in broker dealer operations and investor relations. Compliance: Coordination with and between investors and fund administrators for review and follow-up of onboarding documents to ensure compliance with applicable regulatory rules andcompany guidelines.
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Ensure compliance with all applicable gaming laws and company internal controls, policies and procedures, Title 31, and federal regulations. The dealer will ensure that policies and procedures are followed and that the integrity of the game is not compromised.
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The person in this position will work closely with team members in the Compliance Department to modify, implement, and supervise the compliance procedures and the overall supervisory structure of the Broker-Dealer and RIA. As such, the Compliance Analyst will be instrumental in helping to modify, implement and oversee the continuing education and representative training program; advertising, email and correspondence review; and anti-money laundering program enforcement.
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Maintain compliance with all applicable bank, broker/dealer, State and Federal regulations associated with the sale of investment and insurance products including Santander Policy Statement governing the sale of uninsured products.
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For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. + For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM.
$92,114 - $156,880 a yearFull-timeExpandApply NowActive JobUpdated Yesterday
dealer compliance jobs
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