Compliance Officer Broker Dealer Jobs

The Wealth Consulting Group - Las Vegas, NV, United States

to the Chief Compliance Officer of the firm supporting the continued development and operation of the compliance program. JOB DUTIES & RESPONSIBILITIES 1. Ensure the firm’s compliance with WCG advisory

from: linkedin.com - 9 days ago

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

Hold Brothers Capital, LLC, a leading self-clearing broker-dealer is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers

from: resume-library.com (+1 source) - 22 days ago

Simmons & Hanbury - Chicago, IL, United States

to develop and maintain the Compliance framework for the US Broker Dealer entity as part of the global Compliance framework. Review the Compliance Monitoring Plan and the controls in place to assess

from: linkedin.com - 10 days ago

Stonecrest Partners - Austin, TX, United States

a compliance professional with strong experience working in the broker dealer and investment advisor industries to lead our Compliance Department. The role, whether as Managing Director of Compliance or as Chief

from: linkedin.com - 21 days ago

In House Jobs | JDHuntr - Portland, OR

In House Counsel Jobs | JDHuntr 37764 Chief Compliance Officer (remote), Portland, OR\ To apply go to JDHuntr.com \ Lead the companys broker-dealer Compliance team and program. Develop and implement

from: get.it - More than 30 days ago

Allspring Global Investments - Menomonee Falls, WI / Boston, MA / Charlotte, NC

with the streamlining of the marketing review process. RESPONSIBILITIES Support compliance's review and approval of advisor/broker dealer and international marketing materials and various other electronic communications

from: milwaukeejobs.com - 27 days ago

In House Jobs | JDHuntr - New York City, NY

In House Counsel Jobs | JDHuntr 46379 Chief Compliance & Regulatory Officer, New York, NY To apply go to JDHuntr.com Develop, implement, and maintain broker -dealer and alternative trading systems

from: get.it - More than 30 days ago

Resolute Investment Managers - Irving, TX 75039, USA

, and other applicable regulatory agencies. Key Responsibilities Assists the Chief Compliance Officer in developing compliance policies and procedures to ensure the organization's activities comply

from: applicantpro.com - More than 30 days ago

In House Jobs | JDHuntr - San Francisco, CA

In House Counsel Jobs New York | JDHuntr 43511 Chief Compliance Officer (Remote), San Francisco, CA To apply go to JDHuntr.com Develop and implement policies and procedures designed to meet

from: get.it - More than 30 days ago