Trabajos broker dealer compliance en Estados Unidos

Want a meaningful career where you can make a difference? Edward Jones sounds perfect for you. Collaboration. Autonomy. Opportunity. Words our headquarters associates use when talking about working at Edward Jones. Words that describe what it's like being part of a firm where everyone is aligned...

Overview: This position provides client support for brokerage products, services, and accounts. Answers inquiries, resolves issues, and assists clients with requests. Executes trading instructions on various security classes. Facilitates the daily workflow by executing trading instructions and ma...

This inclusive employer is a member of myGwork – the largest global platform for the LGBTQ+ business community. As one of the world's leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive...

This inclusive employer is a member of myGwork – the largest global platform for the LGBTQ+ business community. As one of the world's leading asset managers, Invesco is dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined power of our distinctive...

This is a critical role overseeing compliance for core parts of Forge's business, reporting directly to the Head of Compliance. Maintain and enhance the company's BD and RIA compliance program. Develop, implement, and maintain Forge's broker-dealer and RIA compliance programs. Manage a staff of e...

iCapital is powering the world's alternative investment marketplace. Our financial technology platform has transformed how advisors, wealth management firms, asset managers, and banks evaluate and recommend bespoke public and private market strategies for their high-net-worth clients. iCapital se...

Role: Trading Operations Analyst Locations: Phoenix, AZ / Denver, CO / Dallas, TX (Onsite job) Position type: 6+ months with high possibility of extension/Conversion as FTE Pay rate between $28 - $33/hr Job Description: Trading Operations is the leading provider of custodial, trading, t...

DescriptionAbout Morgan StanleyDiscover your next career opportunity with Morgan Stanley, where we are committed to helping our employees build meaningful careers, and where you can learn, achieve, and grow. Across the globe, we believe our greatest asset is our people. As part of our commitment ...

Cetera Financial Group is undertaking a search for a Director of Reward with experience in Compensation, Benefits and Mergers & Acquisitions (M&A) to provide strategic direction, planning, and execution of our compensation (equity), and benefits programs.What you will do:Oversee HR M&A due dilige...

ResponsibilitiesRESPONSIBILITIES: Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Compa...

Two to five years of relevant broker-dealer and/or investment banking compliance or regulatory experience.Working understanding of applicable laws, regulations and guidance, particularly FINRA and SEC rules.Excellent verbal and written communication skills.Strong interpersonal and supervisory ski...

Chief Compliance Officer (CCO). We are searching for a motivated CCO to lead the Compliance Department of a FINRA registered broker-dealer, and its affiliated SEC registered investment advisory firm. We are searching for a motivated individual to lead the Compliance Department of a FINRA register...

This person will be instrumental in helping keep the firm’s broker-dealer, and related regulated entities, at the peak of compliance and providing guidance and attention to the companies launching and conducting their current business model, as well as supervising a staff of Compliance profession...

Summary of Responsibilities: The role of the Financial Advisor is to enhance member and client relationships by providing holistic planning advice and offering solutions such as Investments, Insurance, and Estate Planning products and services. Education: • Bachelor’s degree, preferably in financ...

Provide support to the Chief Risk & Compliance Officer, providing direction to the firm's compliance staff and working with legal counsel in dealing with regulatory agencies. Exciting opportunity for a Senior Compliance Officer to join a strong broker-dealer headquartered here in Miami. Conduct a...

Position Summary Avantax Planning Partners is seeking a Financial Planning Consultant that will service a book of business provided by Avantax Planning Partners (APP). The Financial Planning Consultant will be responsible for growing this book over time through leads and referrals from CPAs affil...

Proven 7 years experience as a Compliance Officer or Compliance Manager. Develop and implement an effective legal compliance program. Set plans to manage a crisis or compliance violation. Address employee concerns or questions on legal compliance. ...

Broker dealer located in Orlando looking to bring on board a “AML Escalations & Enhanced Due Diligence Associate” to join their compliance team.This role is on a hybrid schedule (3 days in office).Conducting Enhanced Due Diligence on complex accounts and higher risk customers.Preparing a memo of ...

This is a critical role overseeing compliance for core parts of Forge’s business, reporting directly to the Head of Compliance. Maintain and enhance the company’s BD and RIA compliance program. Develop, implement, and maintain Forge’s broker-dealer and RIA compliance programs. Manage a staff of e...

SUMMARY: The Financial Advisor will offer financial solutions to members through a wide variety of products and services. This task will be accomplished through the utilization of a Total-Needs Based selling approach. The Advisor will meet with members face to face as well as via telephone in ord...

Implement and/or maintain a comprehensive investment advisory compliance program for SEC Registered Investment Advisor (“RIA”) affiliates of Société Générale Americas Securities, LLC, a FINRA broker-dealer, to ensure compliance and practices with Investment Company Act of 1940, as well as Securit...

Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements. Designing and implementing a comprehensive broker-dealer compliance program, protecting the firm from regulatory risk. Ensuring compliance...

The Compliance Analyst will be responsible for implementing the firm's compliance policies related to the review and approval of marketing materials relating to Galaxy Digital. The Compliance Analyst will also be asked to help review marketing materials for Galaxy Digital's broker-dealer and asse...

NY - Compliance Officer in Broker Dealer**. ...