AVP BROKER DEALER COMPLIANCE jobs in UNITED STATES, United Kingdom

Compliance Officer of LSI in maintaining and implementing the day-to-day compliance program of the broker-dealer. The LSI... Education and Experience: 5-7 years of validated experience in broker dealer and regulatory compliance Series 7, 24 or 14...

Management and CUSO Resolution Planning. Reporting directly to the Treasurer, the AVP will have involvement in all broker dealer... for US Broker Dealer including Intraday monitoring, collateral management, cash flow forecasting, stress testing, and compliance...

to 7+ years’ experience in Broker Dealer regulatory capacity with extensive background of equity, and option trade flow... from executions to settlement. Working knowledge of broker dealer regulatory non-financial reporting requirements including...

, including subsidiaries such as the broker dealer and derivative trading entities. The Liquidity Risk Independent Review... of Mizuho Financial Group. It is responsible for ensuring compliance with Enhanced Prudential Standards (EPS) liquidity...

regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker-dealer, member SIPC. To learn..., is seeking an AVP, Security Analyst. This role will engage directly internal and external stakeholders on corporate security...

for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage... (AVP) of Institutional Relationship Management serves as part of a team dedicated to an institution that has both product...

, Business Administration, or a related field. 2-4 years of experience in triparty allocations with a broker-dealer... will provide more details. The Triparty Allocation Associate/AVP is responsible for managing and optimizing the allocation...

our US broker dealer, Lloyds Securities Inc. Lloyds Bank is committed to attracting, retaining and developing the best talent in... to identify and satisfy customer FX/MM/C needs to meet Bank credit, compliance, and profitability requirements Input transactions...

independent broker-dealer, a leading investment advisory firm, and a top custodian. We support over 22,000 financial advisors... is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary...

Job Description: What You'll Do We’re looking for an AVP – Portfolio Administration, Client Service & Marketing..., marketing, and compliance monitoring! You will lead a small team to support clients by providing performance data, maintaining...

Minimum 3+ years of experience for Officer and 5+ years of experience for AVP in banking, capital markets and broker dealer... Weighted Asset in compliance to U.S. Basel III at both BHC and legal entity level Prepare and review monthly/quarterly/annual...

LLC (LPL E), a new introducing broker dealer clearing through LPL Financial. The Manager will report to the AVP of LPL... for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage...

-dealer operations or compliance Previous experience with any monitoring tools a strong plus Series 7 or Securities... will provide more details. Responsibilities The general responsibilities for the Surveillance AVP include the following...