Compliance Officer Broker Dealer Jobs

Square - Portland, Oregon

and internal, cross-functional stakeholders. You will be the brokerage operations manager responsible for the critical functions of the broker-dealer for Cash App Investing LLC, identifying and remediating Compliance Officer Broker Dealer Work careers...

from: resume-library.com - 4 days ago

Square - Salt Lake County, Utah

and internal, cross-functional stakeholders. You will be the brokerage operations manager responsible for the critical functions of the broker-dealer for Cash App Investing LLC, identifying and remediating Compliance Officer Broker Dealer careers...

from: resume-library.com - 28 days ago

Hoboken, NJ (+2 locations)

The Director - Broker-Dealer Compliance will be part of the Securities Compliance Division, which serves as a regulatory advisory function... broker dealer compliance bdc...

from: jobserve.com - 24 days ago

Cash App - San Francisco, California

instantly buy stock with as little as $1 using our free fractional trading feature! The Compliance team is looking for a Chief Compliance Officer (CCO) to lead the broker-dealer compliance program broker dealer compliance regulation...

from: resume-library.com - More than 30 days ago

Manhattan, NY

The Director - Broker-Dealer Compliance will be part of the Securities Compliance Division, which serves as a regulatory advisory function... broker dealer compliance officer...

from: jobserve.com - 24 days ago

Prudential - Newark, New Jersey

Solutions. Qualifications Ten to fifteen years of compliance and/or legal experience related to broker-dealer and investment advisory services. Extensive experience with state insurance departments, FINRA broker dealer...

from: snapjobsearch.com - 2 days ago

Prudential - Newark, New Jersey

will also assist the business in development and implementation of the longer-term strategy involving more investment advisory functions moving to a Prudential RIA. The Compliance Officer position requires broker dealer senior compliance officer...

from: snapjobsearch.com - 2 days ago

Leading Internet / Online Media Company - New York, New York (+2 locations)

stock with as little as $1 using our free fractional trading feature! The Compliance team is looking for a Chief Compliance Officer (CCO) to lead the broker-dealer compliance program for our sub... broker dealer chief compliance officer...

from: Ivyexec.com - 8 days ago

Bloomberg - New York, NY, USA

venues (e.g., UK Multilateral Trading Facility, US Swap Execution Facility), MIFID II benchmark activities, a US Broker-Dealer, and other regulated offerings globally. Bloomberg is looking for a Swap broker dealer compliance... Competitive

from: efinancialcareers.com - 6 days ago

Northwestern Mutual - Milwaukee, WI

and experience preferred. FINRA series 7 & 24 preferred. Minimum of 6 years of relevant experience. Experience in operations (insurance, broker-dealer, advisory) or broker-dealer compliance/supervisory experience aml compliance officer broker dealer...

from: milwaukeejobs.com - 7 days ago