Broker Dealer Compliance Jobs in Greenburgh, New York | ComplianceCrossing.com
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Broker Dealer Compliance Jobs in Greenburgh






Job info
 
Location
New York City, NY
Posted Date
Aug 15, 17
Info Source
Employer  - Full-Time   

Compliance Officer, Manager Broker Dealer Inspection','1709897','!*!COMPANY OVERVIEW:   Since 1918, ... resulting from internal and/or external compliance examinations working effectively and professionally ... within TIAA Participant Services providing Compliance oversight..

 
Location
Brooklyn, NY
Posted Date
Sep 04, 17
Info Source
Employer  - Full-Time   

Compliance Operations - Broker Dealer Alerts Analyst (Back Office) JPMorgan ... Administrative Office Operations team supports compliance, and manages and maintains reference ... across the organization and provide compliance operational..

 
Location
Brooklyn, NY
Posted Date
Sep 07, 17
Info Source
Employer  - Full-Time   

... Administrative Office Operations team supports compliance, and manages and maintains reference ... across the organization and provide compliance operational support across the firmu2019s ... at J.P. Morgan Chase.u00a0The Global..

 
Company
Location
Jersey City, NJ
Posted Date
Sep 08, 17
Info Source
Employer  - Full-Time   

Senior Compliance Analyst - ACRM - AML ... ACRM - AML CGMI Retail Broker Dealer','17064106','!*!The Assistant Vice President, AML Compliance Risk Management (ACRM) will play ... and maintenance of the..

 
Location
New York City, NY
Posted Date
Sep 14, 17
Info Source
Recruiter  - Full-Time   

Director, Broker Dealer Compliance New York, NY We are ... NY We are seeking a Broker Dealer Compliance professional to assist the CCO ... systems designed to enable the broker..

 
Company
Broadridge Financial Solutions, Inc.
Location
New York, NY
Posted Date
Sep 18,2017
Info Source

Extensive financial services experience with Hedge Funds, Asset Managers, Broker Dealers & Banks. You will participate in the definition/development of the.....

 
Company
Société Générale
Location
New York, NY
Posted Date
Aug 30,2017
Info Source

General understanding of broker dealer operations and back office trade flows. Work closely with Risk, IT, Operations, Legal & Compliance and oversee execution.....

 
Company
BNP Paribas
Location
New York, NY
Posted Date
May 24,2017
Info Source

Support Regional Board and Regional Board Committees and broker dealer board, including overseeing the scheduling of meetings, preparation of agendas,.....

 
Company
Société Générale
Location
New York, NY
Posted Date
Jul 08,2017
Info Source

The SGUS Compliance Department is looking to hire a Compliance Advisor to provide compliance support to the Operations and Technology departments......

 
Company
Linium
Location
Jersey City, NJ
Posted Date
Aug 21,2017
Info Source

Our client, a major International Investment Bank/Broker Dealer, is seeking a Regulatory Operations Specialist......

 
Company
UBS
Location
Weehawken, NJ
Posted Date
Aug 18,2017
Info Source

You'll be working in the Broker Dealer Operations Team. Support new or emerging business areas and working with Compliance identify regulatory impact......

 
Company
New York Life Insurance Co
Location
White Plains, NY
Posted Date
Sep 19,2017
Info Source

The ideal candidate will have prior Insurance Company or Broker Dealer experience, preferably in Compliance or operations. Audit or compliance experience......

 
Company
Alexander Bec
Location
Stamford, CT
Posted Date
Sep 14,2017
Info Source

Experience with the Investment Advisors Act of 1940 as well as a strong knowledge of broker dealer securities rules and regulations is desired......

 
Job title
Company
Lincoln Financial
Location
Rye Brook, NY
Posted Date
Sep 08,2017
Info Source

Follows up with clients on outstanding payments Assists the Financial Planner(s) in maintaining a compliant practice Assists with completion of weekly.....

 
Job title
Company
Cetera Financial Group
Location
,
Posted Date
Jul 21,2017
Info Source

Internal and external compliance standards. Trades meet internal and external compliance standards. Cetera Financial Group......

 
Company
NorthStar Financial Services Group, LLC
Location
,
Posted Date
Sep 09,2017
Info Source

Daily contact with broker dealers or clients regarding missing account information. Contacts broker dealer representative or client to obtain missing new.....

 
Job title
Company
AIG
Location
,
Posted Date
Sep 13,2017
Info Source

Broker Dealer and/or case management experience preferred. Experience reviewing of forms for completeness and regulatory compliance......

 
Company
Straits Financial
Location
,
Posted Date
Sep 10,2017
Info Source

The Senior Compliance Analyst works directly with the Compliance Team, inclusive of the Compliance. US Senior Compliance Analyst......

 
Company
Cetera Financial Group
Location
,
Posted Date
Aug 24,2017
Info Source

Ensure regulatory compliance while assisting offices in migrating client accounts to the firm. Transition Relationship Manager,......

 
Company
The Execu|Search Group
Location
Greenwich, CT
Posted Date
Aug 07,2017
Info Source

A financial services company in Connecticut is currently seeking an experienced Compliance professional to join their growing staff as their new Deputy Chief.....

 
Job title
GRANTED JOB
Company
BankNewport
Location
,
Posted Date
Aug 15,2017
Info Source

Compliance risk, credit risk, liquidity risk, market risk, operations risk and. Manage, and supervises the finance related activities of the Finance and......

 
Company
Deloitte
Location
Stamford, CT
Posted Date
May 27,2017
Info Source

Ability to demonstrate basic understanding of Subchapter K, partnership allocation methodologies, and the tax compliance process for private equity funds......

 
Company
Deloitte
Location
Stamford, CT
Posted Date
May 26,2017
Info Source

Advanced understanding of Subchapter K, partnership allocation methodologies, and the tax compliance process for private equity funds......

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