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Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. Responsible for providing regulatory and compliance advice to business units, identify and provide training and conduct monitoring of the broker dealers public side sales and trading groups with a focus on all Fixed Income activities including Primary Dealer and fixed income futures activity.
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Top-Tier Investment Management Firm in Midtown, Manhattan is seeking a Director of Broker-Dealer Compliance! Develop, maintain and implement compliance program for a limited purpose broker-dealer which serves as the distributor of registered funds and private/non-listed investment products.
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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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Wells Fargo Securities (WFS) is the Capital Market and Investment Banking division of Wells Fargo Bank, NA. In its role as a major Broker Dealer, WFS provides market liquidity in Foreign Exchange Markets on continuous basis for its global customer base in US, EMEA & APAC regions.
$300,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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We are seeking a Legal Entity Controller (LEC) to support Morgan Stanley & Co. LLC (MSCO), our primary US institutional broker-dealer, and Prime Dealer Services Corp. (PDS), a subsidiary of MSCo, engaged in securities lending transactions to facilitate financing for our Prime Brokerage clients.
$135,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Job Requirements Strong domain expertise in the entire value chain for a broker-dealer Entire value chain of broker dealer – middle and back office, trade settlement, clearing ,custody, client reporting, services – margin + stock lending Market data processing – reference data for stocks.
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Reporting to the VP of the West Elm Work business, you will leverage your professional contacts in the key market segments, focusing on building strong relationships with office furniture dealer designers, and dealer & Steelcase sales teams while selling the full capabilities of our WSI family of brands.
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3-5 years in the financial services industry at a broker/dealer or regulatory agency (i.e. FINRA, SEC, CFTC), ideally with an emphasis on surveillance with exposure to business, IT, operations, support, and control functions.
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Work with CCO in assessing, overseeing, and improving the risk management and compliance practices for retail crypto trading and custody. Understanding of the current and evolving landscape of regulatory compliance and risk management for global financial technology and crypto companies.
$175,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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You will work as part of a small Compliance team conducting SAM alert investigations on intermediary wire transaction monitoring, performing basic data collection and analysis, and assisting the BSA/OFAC Officer in carrying out daily BSA/AML/OFAC tasks.
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The opportunity The Sector Compliance Team focuses on services to financial organizations that address SEC, CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking, swap dealer trading, investment management and investment advisor compliance.
$198,600 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Director, Model Validation for SHUSA Compliance models (Transaction Monitoring, Sanctions Screening, Fraud Risk, etc) will be responsible for leading the independent validation of models used by various Compliance groups in conformance with regulatory guidance on model risk SR- and other regulatory requirements around Compliance models.
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8-10 years of financial services experience, bonus points for experience with broker-dealer compliance or supervision, or prior experience at a regulator. The Governance Team with Robinhood Markets Platforms comprised of the Customer Experience and Customer Trust & Safety areas works with various Robinhood entities including the Operational and Compliance teams at Robinhood Securities, LLC ("RHS"), Robinhood Financial, LLC (“RHF”), Robinhood Crypto LLC (RHC) and Financial Crimes to drive a culture of governance and compliance that actively supports the people, process and technologies vital to our business.
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The Privacy Compliance Officer will support the Global Head of Privacy and Data Protection by implementing the Global Privacy and Data Protection Policy, providing compliance advice, and conducting privacy impact assessments.
$65 an hourExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Have a working knowledge of and be able to support all GRC capabilities such as cyber risk management, third-party risk management, security training and communications, and our compliance program.
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compliance broker dealer jobs Title: general in New York, Osseo, Minnesota
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