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In-depth knowledge of the U.S. regulatory system in general and specifically knowledge of CFTC, NFA, FINRA, and SEC rules and regulations applicable to swap dealer and broker dealer and FED rules applicable to banks.
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5-7+ years of U.S. broker-dealer compliance expertise monitoring equity sales, trading, research and investment banking. Our client, a prestigious Broker-Dealer, seeks a Compliance Officer for their midtown NYC office.
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The US Compliance department carries out Second Line of Defense monitoring of the corporate banking, investment banking and broker-dealer activities across Societe Generale's US operations, reporting on the compliance risks and issues to local, regional, and head office management.
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Proven analytical skills, understanding and demonstrated product knowledge of broker-dealer, equity sales and trading, investment banking and research coverage and production practices. Guarding reputational and regulatory risk for each business line and functioning as an escalation point for compliance issues and conflicts of interest.
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This role will involve close association with our broker-dealer to ensure strict compliance with financial regulations and standards. 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.
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5- 7+ years in administration of and operations of an ethics and compliance hotline/whistleblower line, investigations, anti-corruption, fraud, forensics, and regulatory compliance.
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Keep abreast of compliance and regulatory requirements by attending BSA, AML, KYC and any other compliance or risk control seminars and trainings Set up customer profile, timely update and review it.
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1-2 years in Broker-Dealer compliance experience, capital markets compliance or regulatory experience. Understand and apply broker/dealer regulatory rules.
$60,000 - $75,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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You will also be responsible for identifying and building valuable use cases for data within the financial services domain (e.g., trading, broker-dealer, asset management, investment management.
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Preferred experience in building trading products at a broker dealer, prop trading firm, hedge fund, or clearing firm. You will work closely with cross-functional teams - Trading, Capital Markets, Risk Management, Operations, Legal, Compliance, and other product teams to prioritize high impact products and translate both internal and external customer needs into product roadmaps.
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5-8 years of experience, preferably with both broker dealer and registered investment advisor experience. Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by iCapital's FINRA registered broker dealer subsidiary and SEC registered investment advisors.
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Regulatory Filing experience: Form ADV, Reg D, 13F, 13H, Form PF, CPOPQR, NFA annual filings, CFTC Form 40. Responsible for Code of Ethics (COE) monitoring including personal trading, electronic surveillance, compliance certifications, (optimal to know ACA Compliance Alpha systems), political contributions, gifts & entertainment, outside business activities/conflicts of interest and remedial controls.
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Manage CHW recruitment and training, ensuring compliance with NYS Medicaid, OMH, and other regulatory bodies. In-depth knowledge of regulatory requirements related to Medicaid, OMH, and HEDIS measures.
$120,000Full-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Experience working with regulatory approvals, including working with planning zoning as well as SEQRA compliance; experience working with NYCDOT Builders Pavement Plans and/or NYCDOB plans (site / utility / ADA compliance) is a plus.
$95,000 - $105,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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1+ years of experience in financial services; sales or operations experience from a broker/dealer or relevant experience working for a fixed income electronic trading venue preferred. Complete requisite FINRA General Securities Representative Examinations (SIE, Series 7 and 63.
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regulatory compliance broker dealer jobs Title: general in New York, Osseo, Minnesota
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