Broker Dealer Compliance Jobs
1 - 8 of 8
Search Results - Broker Dealer Compliance Jobs
Blue Owl Capital Inc.Short Hillsappcast.io
Blue Owl Capital Inc. is seeking a Managing Director, Americas' Distribution and Global Marketing to lead the firm's broker-dealer and marketing compliance efforts across North America and Latin America.
You will partner with senior stakeholders...
Des Moinesprincipal.com
What You'll Do:
Principal is hiring for a Compliance Advisor to provide support to our Broker-Dealer and build relationships that will strengthen our program and foster collaboration! The position acts as a 2nd line of defense within our compliance...
Blue Owl Capital Inc.Short Hillsappcast.io
the team as Managing Director, overseeing Broker-Dealer, Global Marketing and Distribution; reporting into the Head of Distribution Compliance/CCO of Blue Owl’s limited purpose broker dealer. This role will have two direct reports and oversee a team...
Birminghamicims.com
appropriate to streamline operating functions. Collaborate with cross functional compliance, AML and supervision teams to support daily initiatives
• Supervise staff that supports both investment advisory and broker dealer compliance initiatives
• Perform...
Cetera Financial Group, Inc.Dallas
meet regulatory and broker-dealer compliance standards.
Responsible for low to mid-level escalations, partnering with the Operations Team Lead and leadership to research, communicate, and resolve issues in a timely manner.
Proactively identify...
New Yorktiptopjob.com
operations, systems, structures)
• Awareness of regulatory compliance requirements for Bank, Swap Dealer and Security:Based Swap Dealer legal entities
• Experience in Swap Dealer and Broker Dealer compliance control testing
As an HSBC employee, you...
Software Guidance & AssistanceRockville (MD)
work experience in a related field)
• 5 years of experience in one or more of the following: broker dealer compliance, compliance project management, business analysis, program management, product marketing
• Experience with database querying (e.g., SQL...
Livermore (CA)icims.com
and Compliance
• Ensure adherence to all regulatory and internal compliance requirements in all sales activities.
• Ensure all broker dealer compliance/attestation/annual compliance certifications are completed in a timely manner.
• Ensure all required bank...
Broker Dealer Compliance jobs – Similar offers:
Don’t miss out on new job openings!
Create a job alert for: Broker Dealer Compliance
It's free, and you can cancel email updates at any time