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The ideal candidate will have extensive expertise in banking operations, Broker Dealer and Swap Dealer regulations (including the global impact of relevant U.S. regulations), compliance with regulations, and a deep understanding of front office sales and trading operations.
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Requirements: 8+ years of Broker Dealer Compliance experience. A broker dealer and investment bank is seeking a Head of AML to run the day-to-day execution of the financial crimes program covering the operations of the broker dealer, research, M&A, and investment banking.
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The Compliance Director position is a senior role within the Wealth and Brokerage (W&B) Compliance team, responsible for providing compliance leadership and counsel on regulatory and compliance requirements related to the Fidelity Brokerage Services (FBS) broker-dealer.
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Commit to taking and passing the FINRA SIE exam and Series 99 exam within 3 months of employment and becoming affiliated with our broker-dealer (will required a background check). This role will involve close association with our broker-dealer to ensure strict compliance with financial regulations and standards.
$125,000 a yearFull-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
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Developing and maintaining enterprise-wide policies, procedures, standards and training for SOX Compliance, Broker-Dealer 17a-5 Compliance, Internal Control requirements for US Federal Reserve Bank filing for Capital & Stress Testing (FR Y-14 A/Q/M reports) in support of CFO Attestation, and ESG reporting.
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Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer. Bachelor’s degree and ten (10) years' financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined minimum of 14 years higher education and/or work experience including 10 years’ financial services industry experience with significant experience in senior level roles in broker dealer compliance.
$229,962.03 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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7-10+ years of regulatory and/or advisory compliance experience at a broker dealer. A solid foundation in US securities laws and regulations and broker dealer operations. The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Training committees.
$200,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Prior management, Registered Investment Advisor and Broker Dealer experience required. Lead back and middle office operations including implementing policies, procedures, controls; overseeing day-to-day operations; and ensuring systems/processes are meeting the business needs of the Financial Advisors.
Full-timeExpandApply NowActive JobUpdated 15 days ago - UpvoteDownvoteShare Job
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Deep knowledge and understanding of FINRA and SEC broker-dealer compliance rules and regulations. 2-5 years of validated experience in broker-dealer compliance. 2-5 years of broker-dealer compliance experience.
$200,000 a yearFull-timeExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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Experience/background in compliance applicable to broker-dealer internal inspections, institutional trading & sales, investment banking, commercial banking, investment management, and corporate functions within investment or commercial bank or institutional broker-dealer is preferred.
$159,100 a yearFull-timeExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
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Assist the Chief Compliance Officer generally with FINRA and broker-dealer related compliance questions and issues as they arise. Brown Gibbons Lang (BGL), a leading independent investment bank focused on the global middle market, is seeking a full-time In-House Counsel to assist our rapidly growing organization.
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For those supporting the Broker Dealer businesses, FINRA Series 7 and/or Series 24 license and additional Principal Licenses, 1+ years of investment experience/work and/or good knowledge of investments/securities products and services preferred.
$105,700 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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This role will work with the Manager of Operations to oversee the day-to-day activities of the back and middle office including Financial Advisor onboarding, systems administration, billing/commissions, money desk, and vendor management of outsourced services/systems.
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And trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as well as our fixed annuity insurance platforms. Service and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a focus on new account review and suitability for.
$112,320 a yearFull-timeExpandApply NowActive JobUpdated 7 days ago
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