Compliance Officer Broker Dealer Jobs

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Agency Supervisor  

The Piedmont Group - Atlanta, GA, US

The ASO must have a comprehensive understanding of the obligations & requirements set forth by the Broker-Dealer, Registered Investment...

from: ziprecruiter.com

Compliance Analyst- Financial Services  

Sentinel Group - Wakefield, MA, US

a high attention to detail. The Compliance Analyst will assist the Chief Compliance Officer in document management, compliance testing, internal controls, and risk management for the firm and its Compliance Officer Broker Dealer Work careers...

from: ziprecruiter.com - 2 days ago

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Compliance Analyst - Financial Services  

Dunham & Associates Investment Counsel, Inc. - San Diego, CA, US

across all 50 states. Dunham is an independently owned Registered Investment Adviser and Broker/Dealer. Member FINRA/SIPC, helping Financial Advisors and individual investors reach their long-term goals Compliance Officer Broker Dealer careers...

from: ziprecruiter.com - 3 days ago

BSA High Risk Analyst  

City National Bank of Florida - Miami, Florida

client relationships as it pertains to BSA and Patriot Act requirements. Ability to verbally communicate the outcome to Compliance management. Knowledge of broker/dealer products/services. Adequate broker dealer compliance bdc...

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from: resume-library.com - 2 days ago

Compliance Officer  

Western & Southern Financial Group - Cincinnati, Ohio

and broker-dealer. The compliance officer is responsible for assisting CCOs in maintaining regulatory, risk, and governance oversight by analyzing, and establishing internal controls. The compliance officer broker dealer compliance regulation...

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from: resume-library.com - 5 days ago

In House Counsel Jobs California | JDHuntr 50611 Director, Chief Compliance Officer, Broker Dealer,  

JDHuntr.com In House Counsel Jobs - Chicago, Illinois 60606

In House Counsel Jobs California | JDHuntr 50611 Director, Chief Compliance Officer, Broker Dealer, Chicago, IL To apply go to JDHuntr.com Provide oversight of BD activities. Act as our appointed SEC broker dealer compliance officer...

from: get.it - More than 30 days ago

Interim CCO - Startup Stealth Broker Dealer - Fintech - Remote  

Infinity Consulting Solutions, Inc. - Boston, Massachusetts

TITLE: Interim CCO - Startup Stealth Broker Dealer - Fintech - Remote Location: remote Interim Chief Compliance Officer for a Newly Formed Broker-Dealer Our client is looking for candidates broker dealer...

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from: resume-library.com - 9 days ago

Compliance Officer, Priv Funds  

Western & Southern Financial Group - Cincinnati, Ohio

. The private funds and regulatory compliance officer manages all compliance efforts associated with Fort Washington's related broker-dealer activities, including the development, implementation and supervision broker dealer senior compliance officer...

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from: resume-library.com - 9 days ago

Director, Fixed Income Compliance  

Scotiabank - New York City, NY, US

pursue effective and efficient operation of responsibilities as a Compliance Officer in accordance with Scotiabank’s values and its Code of Conduct. Champion high performance and contribute to an inclusive broker dealer chief compliance officer...

from: Scotiabank - 2 days ago

Research Compliance Advisory - VP  

Sumitomo Mitsui Banking Corporation - New York County, New York

Overview: The Compliance group within Nikko serves as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk broker dealer compliance...

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from: resume-library.com - 12 days ago

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Compliance Officer  

Hold Brothers - New York County, New York (+1 location)

with compliance questions and other needs. Requirements Bachelor’s degree in law, finance, business management or a related field. 3 – 5 years’ proven experience in a compliance officer role and broker/dealer aml compliance officer broker dealer...

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from: resume-library.com (+1 source) - More than 30 days ago


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