BROKER DEALER COMPLIANCE ASSISTANT jobs in UNITED STATES, United Kingdom

a team in reviewing all marketing materials and client communications generated by iCapital's FINRA registered broker dealer... authorities. Qualifications 5-8 years of experience, preferably with both broker dealer and registered investment advisor...

-dealer operations. The successful candidate will have a strong background in financial services accounting, broker-dealer... monthly, quarterly, and year-end close processes of the broker dealer entity and associated subsidiary entities (acquired...

independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services... of their clients. Overview The Executive Administrative Assistant position reports to the Administrative Assistance Manager of LPL...

meeting notes. Work with outside vendors and the institution’s broker dealer to follow up on items in process, resolve... as set by broker dealer and follows all broker dealer/ONI policies and procedures. Assists advisor(s) in preparation...

strict compliance guidelines as set by broker dealer and follows all broker dealer/ONI policies and procedures. Assists... requirements are met, and documenting meeting notes. Work with outside vendors and the institution’s broker dealer to follow up...

is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary...Under the direction of Senior Vice President, Associate General Counsel, the VP, Assistant General Counsel will provide...

and Fiduciary Services section supporting Wealth Management, Trust and Retail Broker-Dealer areas. Candidates... Broker-Dealer areas through a variety of activities, including: Working with lines of business and support areas...

written, communication, and analytical skills Knowledge of stock record & broker/dealer accounting activity Expectations...Job Description: Job Title Listed & COTC Derivatives – CFTC Client Segregation Corporate Title Assistant Vice...

, marketing, and compliance monitoring! You will lead a small team to support clients by providing performance data, maintaining... analytic systems, preparing client review materials, and ensuring compliance across the firm. Additionally, you'll support...

of relevant experience in accounting or finance, preferably within investment banking or broker dealer firm Proficiency in SAP... and compliance with regulatory requirements, and contributing to the overall financial strategy of the firm. Assist in the...

to a background check; those prints and results will be retained by our broker-dealer, Lion Street Financial. Lion Street... articles for compliance review and distribution Assist with database and file maintenance across several web-based systems...

to discussions on Securities, Broker Dealer money laundering, market abuse, suspicious cash movements, and other crime related issues...Who we are looking for The FIU Senior Investigator supports Functional Compliance’s Financial Intelligence Unit (FIU...

-dealer operations or compliance Previous experience with any monitoring tools a strong plus Series 7 or Securities... the following qualifications and experience: Bachelor’s degree At least 5-7 years of experience in banking or broker...

and trading broker-dealer activities of Merrill Lynch’s Global Wealth and Investments Solutions group.... Job Description: Providing primary legal support to Merrill’s broker-dealer equities sales and trading business. Providing secondary legal...

is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary... calls regarding the products utilized across our advisor and client-facing platforms. This manager reports to the Assistant...

for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage... put, we take care of our advisors, so they can take care of their clients. Job Overview: The Assistant Vice President...

such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency... include but are not limited to applicable FINRA general securities, agent state law, investment advisory licenses, compliance...