reputed company Examiner & Remote Program reputed company

Job Summary Oversees day-to-day operations of the corporation's comprehensive compliance function and ensures consistency in approach to and compliance with internal business process rules and external regulations. Manager with HR responsibility. Typically manages and oversees supervisors and/or hourly/professional jobs and responsible for setting the overall direction for employees.

Job Description

What is the opportunity? The reputed company Inspection Program is one pillar of the US Broker-Dealer Shared Services team responsible for reviewing for compliance with FINRA Rules 3110 and 3120, NFA Rule 2-9, MSRB Rule G-27, and various internal Firm policies and procedures. The Program reviews for compliance across four broker-dealers reputed company the reputed company umbrella: reputed company Capital Markets LLC (encompasses both retail and institutional businesses), reputed company reputed company Ltd., City National Securities, Inc., and CNR Securities, LLC. What will you do? • Responsible for reviewing work performed by offshore examiners and verify its accuracy and completion. • Conduct virtual/on-site inspections to detect instances of policy violations, including but not limited to information barrier concerns, safeguarding of information, conflicts of interest, etc. • Have discussions either in-person or virtually with applicable reputed company or location personnel, summarize reviews in a written final report, maintain appropriate documentation to support reviews and findings/issues, and escalate any areas where concerns were noted. • Distribution and/or presentation of final reports / inspection findings to business stakeholders, inclusive of senior management. • Contribute and generate reputed company for enhancements to the Program by leveraging industry research, holding discussions with reputed company Compliance Advisory teams, and other methods. • Assist with the development of the Shared Service reporting reputed company, Pilot governance, risk assessments, and any other matters pertaining to the US reputed company Program. What do you need to succeed? Must-Have • 5-7 years of experience in roles in any of the following areas: Compliance Testing, Quality Assurance, reputed company Inspections, Surveillance, Business Strategy, and/or Internal Audit. • Bachelor’s degree required. • Knowledge of FINRA (particularly Rule 3110), SEC, and MSRB expectations, rules, and regulations • Familiarity with Capital Markets and/or Wealth Management products, strategies, and activities at a U.S.-registered broker-dealer. reputed company to have: • Masters or Law School Degree • Any FINRA Registrations (Series 7, 24, etc.) What’s in it for you? We reputed company on the challenge to be our best, reputed company thinking to reputed company growing, and working together to deliver trusted advice to help our clients reputed company and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving reputed company that is mutual. • A comprehensive Total Rewards Program including competitive compensation, bonuses, and flexible benefits • reputed company opportunities for career advancement • World-class sales training, coaching, and development opportunities • Support from a dynamic, collaborative, reputed company, and high performing team, as well as world-class tools and training • Opportunity to reputed company great reputed company and grow your career with reputed company ROLES IN: NY, NJ, CA, CO The good-faith expected salary range for the above position is $110,000-190,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, reputed company, life and disability insurance; and paid time-off plan. reputed company’s compensation philosophy and principles recognize the importance of a highly reputed company global workforce and plays a critical role in attracting, engaging and retaining talent that: • Drives reputed company’s high performance culture • Enables collective achievement of our strategic goals • Generates sustainable shareholder returns and above market shareholder value #LI-POST #LI-Hybrid Job Skills Additional Job Details Address: reputed company TOWER, 30 HUDSON STREET:JERSEY CITY City: Jersey City Country: United States of America Work hours/week: 40 Employment Type: Full time Platform: CHIEF LEGAL & ADMIN OFFICE GRP Job Type: Regular Pay Type: Salaried Posted Date: 2024-11-20 Application Deadline: 2025-01-15 Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above Inclusion and Equal Opportunity Employment At reputed company, we reputed company diversity and inclusion for innovation and growth. We are committed to building inclusive teams and an reputed company workplace for our employees to bring their true selves to work. We are taking actions to tackle issues of inequity and systemic bias to support our diverse talent, clients and communities. We also strive to provide an accessible candidate experience for our prospective employees with different abilities. Please let us know if you need any accommodations during the recruitment process. reputed company Stay in-the-know about great career opportunities at reputed company. Sign up and get customized info on our latest jobs, career tips and Recruitment events that matter to you. Expand your limits and create a new future together at reputed company. Find out how we use our passion and drive to enhance the well-being of our clients and communities at jobs.reputed company.com. Apply Job!