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
Jun 28, 17
Info Source
Employer  - Full-Time   

Dir, Compliance Officer Broker Dealer Inspections','1708633','!*!COMPANY OVERVIEW:   Since 1918, ... resulting from internal and/or external compliance examinations working effectively and professionally ... within TIAA Participant Services providing Compliance oversight..

 
Company
Interactive Brokers
Location
Greenwich, CT
Posted Date
May 01,2017
Info Source

Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgment......

 
Company
E*TRADE FINANCIAL
Location
New York, NY
Posted Date
Jul 17,2017
Info Source

Ability to identify and assess compliance risks. Other Department of Labor and Enterprise Compliance related projects......

 
Company
Intercontinental Exchange
Location
New York, NY
Posted Date
Jun 29,2017
Info Source

Work with the account management and compliance teams to address any issues with customers either through daily operational actions or post audit reviews......

 
Company
Guardian Life Insurance Company
Location
New York, NY
Posted Date
Jun 29,2017
Info Source

The Senior Compliance Associate will:. The Senior Compliance Associate will support the overall regulatory compliance efforts of Park Avenue Securities, as well.....

 
Job title
Company
Bank of America
Location
New York, NY
Posted Date
May 09,2017
Info Source

The individual will be a Compliance Manager in the Global Banking and Markets (GBAM) Compliance Department in the Regulatory Change and Management Oversight.....

 
Job title
Company
New York Power Authority
Location
White Plains, NY
Posted Date
Jul 15,2017
Info Source

Work with internal and external bond counsel to ensure compliance with investment policy mandates, bond indenture covenants, statutory and regulatory matters,.....

 
Company
Morgan Stanley
Location
Purchase, NY
Posted Date
Jul 07,2017
Info Source

Legal and Compliance Division. Professionals within Legal and Compliance provide a wide range of services to our business units......

 
Company
KCD Financial Inc
Location
New York, NY
Posted Date
Jul 21,2017
Info Source

Thorough but sensible compliance**. KCD Financial, Inc., based out of Green Bay Wisconsin, is a nationwide registered introducing broker/dealer, registered.....

 
Company
Infinity Consulting Solutions
Location
New York, NY
Posted Date
Jul 13,2017
Info Source

A large global financial services firm is looking for a Director of Compliance Policies & Regulatory Change......

 
Company
SS&C Technologies
Location
New York, NY
Posted Date
Jun 07,2017
Info Source

SS&C Technologies, Inc. is a leading provider of software solutions and services for the international investment community. Investment managers, broker..

 
Company
Interactive Brokers
Location
Greenwich, CT
Posted Date
Apr 23,2017
Info Source

Interactive Brokers LLC (“IB”) is a direct-access electronic trade execution and clearing broker for active traders, institutional investors, financial advisors.....

 
Job title
Company
Lincoln Financial
Location
Rye Brook, NY
Posted Date
Jul 10,2017
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
Signature Bank
Location
New York, NY
Posted Date
Jul 20,2017
Info Source

Maintain operational compliance with bank policies and regulatory requirements. Join a winning team!.....

 
Company
Signature Bank
Location
New York, NY
Posted Date
Jul 26,2017
Info Source

An understanding and commitment to professional auditing standards, internal controls, risk assessment, regulations and compliance guidelines (e.g., GAAP, GAAS,.....

 
Company
UBS
Location
New York, NY
Posted Date
Jul 27,2017
Info Source

3+ years of AML experience with a wealth management, broker dealer, retail and/or private bank, and/or correspondent bank......

 
Company
Natixis
Location
New York, NY
Posted Date
Jul 26,2017
Info Source

Familiarity with the principles of risk based KYC, client risk assessment and products used in wholesale/investment and broker dealer business......

 
Job title
Company
Stifel Nicolaus
Location
New York, NY
Posted Date
Jul 26,2017
Info Source

Collaborates with internal and external sources to develop education material and marketing materials for advisors and helps facilitate secondary trading with.....

 
Company
Citi
Location
New York, NY
Posted Date
Jun 21,2017
Info Source

Supervise Broker Dealer Activity. Review and approval of broker dealer transactions. Review and approve marketing material that is distributed through the.....

 
Company
Blackstone
Location
New York, NY
Posted Date
Jul 26,2017
Info Source

Work with BX Compliance regarding firm-wide compliance issues and projects; Documenting of compliance test procedures;.....

 
Job title
GRANTED JOB
Company
Eze Software Group
Location
New York, NY
Posted Date
Jul 25,2017
Info Source

In this role, you will implement the Eze Compliance product within the Eze Order Management/Execution Management System......

 
Company
BNY Mellon
Location
New York, NY
Posted Date
Jun 26,2017
Info Source

The position will be appointed the Chief Compliance Officer for an SEC registered broker dealer and CFTC - registered introducing broker......

 
Job title
GRANTED JOB
Company
Société Générale
Location
New York, NY
Posted Date
Jul 27,2017
Info Source

The audits include reviews of front, middle and back office support functions, product control, accounting, risk management, IT, legal, compliance, etc......

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