Search Results: 290,690 vacancies
...joining MissionSquare Retirement's Corporate Affairs Team.
The Compliance Analyst is responsible for the compliance review and approval... ....
Minimum of 2 years of experience in compliance with a broker dealer or other financial services company.
Detailed knowledge of...
Suggested
Flexible hours
**Chief Compliance Officer, Broker Dealer**
New York City / Legal Legal / Full Time **About Yieldstreet** Yieldstreet is building the largest global digital wealth management platform to change the way wealth is created. With an investor-first approach, our investor community...
Suggested
Full time
...Job Description
I'm recruiting for a growing financial services firm who is looking to hire a full-time Broker-Dealer Compliance Manager to work out of their Bountiful, UT office (just outside of Salt Lake City, UT). They will provide relocation assistance for the...
Suggested
Full time
Relocation package
**Chief Compliance Officer (CCO) of Broker-Dealer**
at GCM Grosvenor Chicago, Illinois, United States **SUMMARY**The Compliance team is looking for a Chief Compliance Officer for the firms limited purpose broker-dealer who can also support the investment advisers compliance...
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For subcontractor
Flexible hours
...looking for qualified candidates to join our team.
The Global Compliance group is responsible for ensuring that Franklin Templeton... ...standards in their day-to-day work.
The Compliance Officer - Broker Dealer Sales Practices will work with Distribution Personnel and...
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Local area
**NY - Compliance Officer in Broker Dealer**
**Location:** New York, US *Intesa Sanpaolo is the banking group leader in Italy. Assisting more than 14,6 milion of retail customers through a network of 5360 branches, it significantly supports the development of Companies...
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**Head of Broker Dealer Operations**
Chicago, IL | Full-time
**About The Role**
Halo is looking for a Head of Broker Dealer Operations... ..., resources and PnL.
* A comprehensive understanding of compliance, investment concepts, and practices and procedures used in...
Suggested
Full time
Flexible hours
...Location: New York, NY, US
** Compliance Officer - US Broker-Dealer**
**About Swiss Re**
Swiss Re is one of the worlds leading providers of reinsurance, insurance and other forms of insurance-based risk transfer, working to make the world more resilient. We anticipate...
Suggested
Flexible hours
...Who You'll Work With:
The Broker-Dealer Accounting/Regulatory Reporting team of Bernstein Institutional Services is in search of a manager... ...other members of the finance team as well as Tax, Legal and Compliance. In addition, key constituents will include, Information...
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Holiday work
Temporary work
Offshore
...difference every day!
Job Description
The Team:
The Compliance Department is an integral part of Invesco's overall risk management... ...:
This position primarily supports Invesco's registered broker-dealers. Under general supervision of the Broker Dealer & UIT CCO,...
Suggested
Full time
Part time
Worldwide
Flexible hours
3 days per week
...with assortment of services from outsourced FinOp, PFO, POO to compliance, cybersecurity, and accounting.
Due to growth and... ...looking to hire a Compliance Associate Director to join their Broker-Dealer group to their team in New York. The Broker-Dealer Compliance...
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Permanent employment
Full time
...Securities Business Counsel department is seeking an Attorney to support its affiliate PFS Investments Inc., a dually registered broker-dealer and investment adviser. Securities industry experience (in-house, law firm or regulatory) and working knowledge of Securities...
Suggested
Holiday work
Local area
Remote job
Work from home
Flexible hours
...President or Vice President candidate to join its Regulatory and Compliance team and focus on Marketing. Responsibilities will include... ...communications generated by iCapital's FINRA registered broker dealer subsidiary and SEC registered investment advisors. This individual...
Suggested
Full time
Remote job
...starts now".
The Role:
We are looking for a VP, CCO, for our Broker-Dealer and Registered Investment Advisor located in the San Francisco Bay Area. This is a critical role overseeing compliance for core parts of Forge's business, reporting directly to the Head of...
Suggested
Interim role
Shift work
...Title: Manager, Broker Dealer Regulatory Reporting Requisition ID: 142737
Join a purpose driven winning team, committed to results,... ...reporting
* TIC/ FRY-15
* Collaborate with Front office, COO, Compliance, Risk, and Legal to understand the needs and direction of the...
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...them to completion
You will develop a deep understanding of the business domain
The Team:
The mission of the Clear Street Broker-Dealer Clearing (BDC) team is to design the technology that enables the largest trading firms in the world to operate. We automate the...
...RSM.
RSM is looking for a Manager to join our Capital Markets practice, which specializes in serving, introducing and clearing Broker Dealer clients of the firm. Our Capital Markets practice is nationally integrated and operates across geographies as a part of the firm...
Holiday work
Work experience placement
Internship
Local area
NYC 299 Park Avenue (22957), United States of America, New York, New York
Commercial Broker Dealer Chief Compliance Officer - Sr. Director
The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered...
Full time
Part time
Local area
...Resolute Investment Managers, Inc.
Analyst / Sr. Analyst, Compliance (Broker Dealer)
Resolute Investment Managers, Inc. ("Resolute ") is a diversified, multi-affiliate asset management platform that partners with affiliated and independent investment managers. The...
Full time
Work experience placement
Remote job
3 days per week
Job Description
This position is responsible for daily processing support for the Brokerage Department.
RESPONSIBILITIES:
Supports registered representatives, platform Bank employees, internal clients and auditors when necessary. Corresponds with customers and...
