Broker Dealer Compliance Career Search Site
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NEXT Financial Group, Inc. - Houston, TX
The Chief Compliance Officer and Compliance Manager... Broker Dealer Industry SUPERVISION RECEIVED Position receives high-level supervision from the Compliance... ...
From JobHost - March 28, 2012
Legent Clearing LLC - Omaha, NE
Legent Clearing, LLC is a national securities broker-dealer with self clearing operations headquartered in... knowledge • Legal compliance background • Audit... ...
From JobHost - March 28, 2012
PwC - Columbia, SC
Company, investment manager; investment bank, broker dealer and hedge fund translate strategy into action... regulatory risk and compliance. Position/Program... ...
From PwC - May 15, 2012
Guggenheim Partners - Rockville, MD
And procedures and broker-dealer written supervisory... compliance meeting, non-cash compensation, etc.). Oversee licensing maintenance program for broker-dealer... ...
From OneWire Inc. - May 12, 2012
Citizens Financial Group, Inc. - Providence, RI
Regulatory compliance offices (i.e. Consumer Banking and Broker Dealer) Partners with the Business in... compliance advice and sign-off. Oversees compliance... ...
From Citizens Financial Group - May 4, 2012
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