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Assess the broker-dealer compliance program designed to prevent illegal, unethical, or improper business practices. Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.
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Familiarity with broker dealer compliance reporting, including SARs and CTRs. The Head of AML position involves leading and implementing comprehensive anti-money laundering (AML) efforts within a reputable broker dealer firm, ensuring compliance with regulatory requirements and mitigating financial crime risks.
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9-12 years’ experience working in the Financial Services Industry at a Broker-Dealer in the Middle Office or Operations areas. Familiarity with Fidessa & DTC Alert/CTM - A MUST. Knowledge of Broadridge BPS, Pershing NetX, Murex, IPREO. - A Strong Plus.
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Extensive experience with FINRA and SEC regulations from an RIA (Registered Investment Advisor) or BD (Broker-Dealer) Supervise employees working on investment-related product offerings and ensure compliance across regulated entities (e.g. RIA, Broker-Dealer, Loan Brokering, Loan Servicing.
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The ideal candidate has a strong financial regulatory background, either from a federal regulatory agency, or as in-house counsel or outside counsel to a broker-dealer and/or investment adviser.
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Bond Health - Behavioral Health Specialist Needed Full-time, IMT Position Program/Department Description: Intensive Mobile Treatment (IMT) is an innovative, creative, trauma-informed mobile practice model designed to provide treatment, rehabilitation and support services to individuals whose needs have not been met by traditional services.
$65,790 a yearExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Reporting to the CEO, you will oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, and AML compliance.
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5+ years of structuring or trading experience of asset-based securities at a broker dealer or investment firm. Screen securities and evaluate trade ideas in public structured products markets including ABS, CLO, RMBS and CMBS.
$100,000 - $200,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Medical (HSA & FSA), dental, vision, 401(k) with company match, employee stock purchase plan, commuter benefits, in-house wellness program, broad learning & development opportunities, a charitable giving platform with company match and more.
$98,500 - $145,000 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Familiarity with broker-dealer regulation, Dodd Frank, Reg AB, CFPB, state and federal regulators, lending, bankruptcy, and with various fixed income and derivative products. Advise trading desks on secondary sales/trading of RMBS, CMBS, ABS, CLO and other fixed income securities.
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Vacature in het kort Bij deze technologische scale-up in Amsterdam, die snel groeit en een grote impact heeft, kun je als Senior Site Reliability Engineer aan de slag.
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T3 Trading Group, LLC is an SEC-registered broker-dealer & Member of FINRA/SIPC. T3’s office headquarters is in lower Manhattan in the heart of the financial district. Stock Locate Inventory & Direct Market Access: Leverage our extensive tools to enhance your trading opportunities.
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Today, OMEGA's family of brand ambassadors includes James Bond, George Clooney, Nicole Kidman, Eddie Redmayne, Daniel Craig, Cindy Crawford, Michael Phelps, Rory McIlroy, Sergio Garcia, Buzz Aldrin and many more.
$37 - $40.85 an hourExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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PeopleSoft Developer, PeopleSoft Timekeeping, PeopleSoft HRMS, North America Payroll, Finance Integration, Peoplecode, application package, BI Publisher, Component Interface, SQR, Oracle, SQL, Integration broker, People Tools, Application Engine, PS Query, Integrations with 3rd Party.
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Aon is currently look for a Senior Vice President - Crisis Management Group Currently, we have an exciting career opportunity for a Broker III in our New York City Office supporting our Crisis Management Group, specifically with the political risk team.
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