- Locations: New York, Texas, Virginia, California, Pennsylvania
- Related Keywords: Broker, Broker Dealer, Broker Dealer Registration, Licensing, Licensing Registration, Registration
- Global Markets & IB Compliance Executive
- Bank of America (New York, NY)
- ...relevant regulations. Supervise examination issue tracking database. Chair US Broker / Dealer NYSE Rule 351(a) Committee: Chair and administer...primary interface with various Enterprise Compliance groups such as Registration and Licensing , among others, to facilitate consistent...
- Global Markets & IB Compliance Executive
- Unknown (New York, NY)
- ...relevant regulations. Supervise examination issue tracking database. Chair US Broker / Dealer NYSE Rule 351(a) Committee: Chair and administer...primary interface with various Enterprise Compliance groups such as Registration and Licensing , among others, to facilitate consistent...
- Compliance Specialist - Licensing , Registration & Regulatory Filings
- ING Financial Services (Hartford, CT)
- Job Title Compliance Specialist - Licensing , Registration & Regulatory Filings Requisition # 16015BR Business Unit...Key responsibilities include: 1. Assist the Senior Compliance Officer in Administering broker dealer 's compliance program 2. Assist the Senior Compliance...
- Counsel
- SAAMCo (Phoenix, AZ)
- ...Operations, Compliance and Risk-Management areas Update and apprise the Broker - Dealer Presidents on all pending litigation and...Compliance and Risk-Management functions regarding Outside Business Affiliation requests; licensing and registration issues; and sales, marketing...
- Global Markets & IB Compliance Executive
- Bank of America (New York, NY)
- ...relevant regulations. Supervise examination issue tracking database. Chair US Broker / Dealer NYSE Rule 351(a) Committee: Chair and administer...primary interface with various Enterprise Compliance groups such as Registration and Licensing , among others, to facilitate consistent...
- Global Markets & IB Compliance Executive
- Unknown (New York, NY)
- ...relevant regulations. Supervise examination issue tracking database. Chair US Broker / Dealer NYSE Rule 351(a) Committee: Chair and administer...primary interface with various Enterprise Compliance groups such as Registration and Licensing , among others, to facilitate consistent...
- Quality Assurance Analyst
- American International Group (Atlanta, GA)
- ...Quality Assurance Analyst you will be responsible for supporting the Registration & Licensing staff through reporting of quality assurance...Services include: Advisor Group, Inc., one of the largest independent broker - dealer networks in the United States and consists of...
- Quality Assurance Analyst
- Advisor Group (Atlanta, GA)
- ...Quality Assurance Analyst you will be responsible for supporting the Registration & Licensing staff through reporting of quality assurance...Services include: Advisor Group, Inc., one of the largest independent broker - dealer networks in the United States and consists of...
- Compliance Officer Series 7
- Robert Half Finance & Accounting (New York, NY)
- ...BSA/AML and Regulatory Firm Element required training. 3) Responsible for licensing and registration function for the firms employees....testing covering applicable Federal Reserve Banking regulations as well as Broker Dealer Rules (FINRA and SEC) (eg, telephone...
- Branch Controls Director - Wisconsin
- AXA Advisors (Milwaukee, WI)
- ...and external examinations. * Retention of required documents and materials related to sales, client transactions and communications, training, marketing/advertising, licensing and registration , et al. * Assist Branch Manager in providing appropriate training to staff and Financial...
- Branch Controls Director - Wisconsin
- AXA Equitable (Milwaukee, WI)
- ...and external examinations. Retention of required documents and materials related to sales, client transactions and communications, training, marketing/advertising, licensing and registration , et al. Assist Branch Manager in providing appropriate training to staff and Financial...
- Compliance Officer
- JPMorgan Chase (Columbus, OH)
- ...Chase Bank's Retail Financial Services Division supporting the bank's retail broker dealer , Chase Investment Services Corp. The Compliance...required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner....