Summary
Siebert Williams Shank & Co., LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking to add a motivated compliance professional to assist the Compliance team led by the Chief Compliance Officer. The successful candidate will support compliance efforts including but not limited to training, branch office exams, FINRA licensing and registrations, anti-money laundering supervision.
SWS is a full-service investment banking and financial services company dual-headquartered in New York and Oakland. SWS is a perennial leader as a co-manager of investment-grade corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB).
Essential Duties and Responsibilities
Qualifications
We are Committed to Fair Pay. At SWS, we are committed to fair, transparent pay and strive to provide competitive, market-informed compensation. The target total fixed compensation range for this position is $90,000 - $125,000. Compensation for the successful candidate will be determined by the candidate's particular combination of knowledge, skills, competencies and experience. This position is also eligible for a discretionary bonus.
SWS empowers talented and highly motivated individuals to thrive independently and collectively. We offer a competitive compensation package, an inclusive working environment and exceptional employee benefits. Our benefit program is designed to provide employees and their dependents with support in maintaining health and financial protection.
Siebert Williams Shank & Co., LLC is an Equal Opportunity Employer : EOE/M/F/V/D committed to a diverse workforce. We welcome and value the people and concepts that move our firm, our industry, and our communities forward. All qualified applicants will receive consideration for employment without regard to sex, gender identity, sexual orientation, race, color, religion, national origin, disability, protected Veteran status, age or any other characteristic protected by law.
Coverage Area: Magic Valley and Mini Cassia Horizon Home Health and Hospice - Immediate Need for Highly Skilled RN Case Manager Are you a talented and compassionate Registered Nurse seeking a fulfilling opportunity to impact the healthcare industry positively? Do...
Nexus Employment Solutions Plus, Inc is hiring Sanitation / Cleaning Workers for a Manufacturing Facility in Portage, IN. Please apply to this position for consideration.Weekly PayPay Range: $15.50 - $16.50Shift: 2nd /3rdApply through Indeed and in person Monday - Friday...
...Come help us Cultivate Fanatics at the nations leading build-your-own pizza fast-casual restaurant where Individuality, Quality, Speed, and Fire are key to the success of our company and our team! We are currently seeking Team Members who can maintain a positive and...
...Portland, OR Boise, ID Houston, TX Juneau, AK The Resource Data Proposal team is pursuing some of the most exciting IT projects in the public and private sectors. As a Senior Proposal Writer, you will lead critical proposal efforts that directly shape the future...
...Position Overview The Associate Day Camps Program Manager is responsible for providing high-quality, meaningful outdoor education experiences... ...throughout the year. Specifically, this position will oversee Summer Camp, Break Camp, and After-School programming at the Seattle...