Financial - Supervisory Officer
4 days ago
We are seeking a Supervisory Officer located in our Melville, NY office location. The Supervisory Officer will be responsible for monitoring the compliance program and advising the Branch Manager on significant risk and compliance initiatives. Supervisory Officer will be tasked with implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations.
**Responsibilities**:
- Keep up on the latest rules and regulations
- Implementing practices that will ensure company meets all current industry regulation standards
- Have in-depth knowledge and understanding of fee-based business and Reg BI
- Monitor the firm's written supervisory procedures
- Detailed knowledge of the firm’s policies and procedures and how they are applied and monitored
- Maintain daily, monthly, quarterly and annual compliance log/tasks
- Monitor all aspects of the firm’s operations in order to identify new or emerging compliance issues
- Advise management on existing and new regulations as they occur and how they affect the firm and its clients
- Communicate clearly and effectively
- Perform other duties and responsibilities as assigned
- Monitor multiple branch locations
- Review and approval of advertising and marketing material
- Organize the submission of timely regulatory responses
**Qualifications**:
- Must have the following licenses: Series 7, 24 and 63; Series 4 & 65/66 preferred
- Minimum of 5 years’ experience (10 years preferable) as a Supervisor or relevant experience working closely in supervision/compliance in the financial services industry
- Strong analytical skills required to organize and analyze multiple, complex data
- A team player, enthusiastic, energetic, pro-active and responsive
- Proven track record of identifying, solving and preventing compliance issues
- Demonstrated ability to understand complex regulatory requirements and create effective compliance programs
- Must be highly organized
- Ability to voice and defend opinions
- Compensation will be salary and bonus. Salary commensurate with being the SO of a midsized full-service investment banking firm
- Experience working with FINRA and the SEC
Aegis Capital Corporation “Aegis” has been in business for almost 40 years catering to the needs of private clients, institutions and corporations. Aegis was founded in 1984 and offers its investment representatives a conflict free service platform and is able to provide a full range of products and services including investment banking, wealth management, insurance, retirement planning, structured products, private equity, alternatives, equity research, fixed income and special purpose vehicles. Aegis is able to provide quality service through its primary clearing relationship with RBC Clearing & Custody whose parent company, Royal Bank of Canada (NYSE: RY), is one of the world’s leading diversified financial services companies. Member: FINRA / SIPC.
Aegis Capital Corporation, **EOE/M/F/D/V/SO**
Pay: $75,000.00 - $125,000.00 per year
**Benefits**:
- 401(k)
- Health insurance
- Life insurance
Weekly schedule:
- Monday to Friday
Work setting:
- In-person
Work Location: In person
-
Chief Financial Officer, A&S
3 days ago
Melville, United States Comtech TCS Full timeJob Title: Chief Financial Officer - A&SDepartment: Accounting & FinanceReports To: Chief Financial Officer (Corp)Revision Date: 11/18/2022Location: Orlando, FlPurpose:Asakeymemberofthesegmentleadershipteam,thebusinesssegmentChiefFinancialOfficerwilloverseeandmanageallaspectsoftheaccountingandfinancialreportingofsegmentleveloperations...
-
Financial Representative
2 weeks ago
Melville, United States All Access Financial Full timeWe offer several financial products from merchant cash advances, term loans, equipment loans, ertc refunds, personal loans, and residential/commercial financing, etc. as well. We provide in-house training and support on all products. Highest salaries/commissions paid in the industry. CHANGE YOUR LIFE MAKE THE CALL! Work Location: - One location Work...
-
Financial Representative
3 weeks ago
Melville, United States All Access Financial Full timeWe offer several financial products from merchant cash advances, term loans, equipment loans, personal loans and residential/commercial financing etc. as well. We provide in house training and support on all products. Highest salaries/commissions paid in the industry. CHANGE YOUR LIFE! MAKE THE CALL!' ' Work Location: - One location Work Remotely -...
-
Financial Advisor
2 weeks ago
Melville, United States Forest Hills Financial Group Full timeJob DescriptionJob DescriptionForest Hills Financial Group, a member of The Guardian Network®, is looking for individuals like you to join our team as a Financial Advisor. We take an uncommon approach to financial services, focusing on long‐term results and leveraging technology, exceptional relationship management and customized strategies for...
-
Financial Advisor
3 weeks ago
Melville, United States Forest Hills Financial Group Full timeJob DescriptionJob DescriptionForest Hills Financial Group, a member of The Guardian Network®, is looking for individuals like you to join our team as a Financial Advisor. We take an uncommon approach to financial services, focusing on long‐term results and leveraging technology, exceptional relationship management and customized strategies for...
-
Audit Manager
2 days ago
Melville, United States EisnerAmper Full timeJob Description At EisnerAmper, we look for individuals who welcome new ideas, encourage innovation, and are eager to make an impact. Whether you're starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one-of-a-kind. You can design a career you'll love from top to bottom - we give you the tools you...
-
Audit Manager
1 month ago
Melville, United States EisnerAmper Full timeJob Description At EisnerAmper, we look for individuals who welcome new ideas, encourage innovation, and are eager to make an impact. Whether you're starting out in your career or taking your next step as a seasoned professional, the EisnerAmper experience is one-of-a-kind. You can design a career you'll love from top to bottom - we give you the tools you...
-
Treasury Solutions
4 weeks ago
Melville, NY, United States BankUnited Financial Corporation Full timeOpportunity in Melville, NY or Miami Lakes, FL. SUMMARY: The Treasury Solutions Head of Risk is responsible for compliance monitoring and risk mitigation and reporting of treasury management and card activities, risk exposures and the provision of related treasury management risk expertise in support of the overall risk management activities of the Bank....
-
Office Coordinator
2 months ago
Melville, United States National Financial Partners Corporation Full timeJoin our dynamic team as an Office Coordinator, where you'll be the welcoming face and the backbone of our office operations. As the primary point of contact for visitors and staff alike, you'll ensure a smooth and efficient running of daily activiti Office Coordinator, Coordinator, Microsoft, Diversity, Operations, Business Services, Skills
-
Client Service Associate
3 days ago
Melville, United States Ameriprise Financial Full time*Financial Planning ssistant* *POSITION TITLE*: nancial Planning Assistant Paraplann - PT: F - time, minimum - 15 hours per eek Hours: 20/w - Position avail ble in our Me - lle Offic - Positi verview: A - namic, growth-oriented financial p - ning practice of Ameriprise Finan - l is seeking a full time Financial Pla ng Assistant. This posit n will...
-
Financial Advisor
4 weeks ago
Melville, United States NYL - Melville Full timeJob DescriptionJob DescriptionOur firm is rapidly expanding and we are currently looking for a new financial advisor to join our entry-level ranks. The ideal candidate will be eager to learn the financial services ropes needed for effective wealth management to help clients achieve their monetary goals. Successful financial planning is rooted in excellent...
-
Financial Advisor
3 weeks ago
Melville, United States NYL - Melville Full timeJob DescriptionJob DescriptionOur firm is rapidly expanding and we are currently looking for a new financial advisor to join our entry-level ranks. The ideal candidate will be eager to learn the financial services ropes needed for effective wealth management to help clients achieve their monetary goals. Successful financial planning is rooted in excellent...
-
Financial Service Professional
4 weeks ago
Melville, United States New York Life Full timeJob DescriptionJob DescriptionCareer Description: Financial Professionals work with clients to identify, outline and achieve their financial goals. We offer a comprehensive array of financial products and services to help clients develop a sound, long-term financial strategy. New York Life and its affiliates are dedicated to prudent financial management,...
-
Financial Service Professional
4 weeks ago
Melville, United States New York Life Full timeJob DescriptionJob DescriptionCareer Description: Financial Professionals work with clients to identify, outline and achieve their financial goals. We offer a comprehensive array of financial products and services to help clients develop a sound, long-term financial strategy. New York Life and its affiliates are dedicated to prudent financial management,...
-
Associate Financial Advisor
1 week ago
Melville, New York, United States NYL - Melville Office Full timeWe are looking for an individual with excellent listening skills and a talent for crafting effective, data-driven strategies in the financial services industry. Our ideal candidate should have a strong interest in building long-term relationships and a passion for financial data, estate planning, and mutual funds.If you possess outstanding communication...
-
Financial Controller
2 months ago
Melville, United States Gilbert Displays Full timeGilbert, located in Melville, NY, is an established custom trade show, commercial/residential interiors and corporate events firm providing design, fabrication, and full program management services for some of the most recognized brands in the world. With an emphasis on partnership, reputation, quality and results, the Gilbert team focuses on providing...
-
Financial Services Professional
2 weeks ago
Melville, United States New York Life - Nassau-Suffolk NY Full timeDescription Seeking a dedicated individual to join the New York Life Long Island General Office team as an Entry-Level Financial Professional. Opportunity to make a difference in families' financial security and well-being. Beyond a job, this role offers substantial income potential, autonomy, and meaningful impact. Financial Services Professionals have...
-
Financial Services Professional
1 month ago
Melville, United States New York Life - Nassau-Suffolk NY Full timeAre you on the lookout for a promising career path with endless opportunities and a clear roadmap? The New York Life Long Island General Office is in search of Entry-Level Financial Professionals dedicated to helping families safeguard their financial futures and protect their dear ones. This role goes beyond just being another job - it presents a chance to...
-
Financial Services Professional
1 month ago
Melville, United States New York Life - Nassau-Suffolk NY Full timeDescription Are you on the lookout for a promising career path with endless opportunities and a clear roadmap? The New York Life Long Island General Office is in search of Entry-Level Financial Professionals dedicated to helping families safeguard their financial futures and protect their dear ones. This role goes beyond just being another job - it presents...
-
Us Financial Analyst I
2 weeks ago
Melville, United States Henry Schein Full timeThis position will be responsible for assisting in the coordination and review of the quarterly earnings conference call book and related earnings materials, as well as preparing several key analyses used in the quarterly earnings process, financial presentations, competitor analyses and long-range planning. KEY RESPONSIBILITIES: - Coordinate all materials...