- USAA (Phoenix, AZ)
- …impactful. The Opportunity USAA is seeking a talented Financial Institutions Relationship Manager Senior to manage and provides operational oversight of USAAs ... annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and demonstrated… more
- Cetera Financial Group, Inc. (San Diego, CA)
- Job Description The Senior Advisory Pricing & Data Manager will be responsible for the development of advisory-pricing data solutions and analysis. They will ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- JPMorgan Chase & Co. (Jersey City, NJ)
- …laws and regulatory requirements related to private banking, investment advisor, broker - dealer and fiduciary activities. Experience with internal audit ... We are on the lookout for a talented Audit Manager to join our Asset and Wealth Management Internal...Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities Strong interpersonal and… more
- First Commonwealth Bank (Berwyn, PA)
- …Provides due diligence on portfolio acquisitions. 10. Reviews and approves Source ( Dealer / Broker /OEM) programs. 11. Performs annual reviews for Obligors and ... in PA or OH to be considered. As a Senior Credit Officer with the Equipment Finance Group, you...formal credit memos and presents recommendations to the Credit Manager or Loan Committee for middle ticket transactions. Essential… more
- TD Bank Group (Lake Mary, FL)
- …role ensures all requirements are met for the successful settlement of foreign broker dealer transactions. Responsibilities Include Work with a team of ... operations employees to facilitate the daily settlement of foreign broker dealer transactions while mitigating risk. Cross-train in several areas of the… more
- New York Life Insurance Co (New York, NY)
- …opportunities, liquidity and security selection. Maintain and strengthen relationships with broker - dealer partners and trading counterparties. What you'll Bring: ... of a $700+ billion investment management organization is seeking a qualified portfolio manager to join our Public High Grade Corporate Credit team within our Fixed… more
- LPL Financial Holdings, Inc. (San Diego, CA)
- …everyone deserves objective financial guidance. As the nation's leading independent broker - dealer , we offer an integrated platform of cutting-edge technology, ... both written and oral, with the ability to present materials to senior and C-suite leaders. Preferences: Bachelor's degree in Computer Science, Information… more
- Charles Schwab (Austin, TX)
- …and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior...draft audit observations for review by the Internal Audit Manager / Senior Manager (and above levels)… more
- BMO Financial Group (New York, NY)
- …New York office. Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong ... understanding of broker dealer operations and SEC/FINRA regulations. If...customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain… more
- Huntington National Bank (Chicago, IL)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... also provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: + Support accounting department in… more
- Bank of America (Charlotte, NC)
- …other MS Office products. **Desired Qualifications** : + Understanding of US Broker Dealer business, operations, and/or regulatory environment. + Knowledge of ... Broker - Dealer Customer Protection Program Lead Charlotte,...both verbal and written, with ability to present to senior level audiences. + Committed to challenging the status… more
- Wells Fargo (Addison, TX)
- **About this role:** Wells Fargo is seeking a Senior Auditor on the Financial Crimes Audit Team. The Financial Crimes Audit Team provides horizontal audit coverage ... that mitigate audit findings and make recommendations to management + Inform manager of situational issues that might compromise objectivity or independence + Design… more
- Charles Schwab (Lone Tree, CO)
- …across three banks, an off-balance sheet sweep deposit portfolio, and a broker dealer . The Senior Manager will develop strategy and analysis for ... and $85 billion in off-balance-sheet brokered deposit agreement notional investments. This Senior Manager individual contributor role will report to the… more
- PNC (Pittsburgh, PA)
- …an opportunity to contribute to the company's success. As a Business Analytics Manager Senior within PNC's Investment Operations organization, you can sit in ... The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will...integrity, manages risk and meets the needs of the senior leadership. + Directing, motivating, developing and managing the… more
- USAA (San Antonio, TX)
- …impactful. **The Opportunity** USAA is seeking a talented Financial Institutions Relationship Manager Senior to manage and provides operational oversight of ... in annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. + Excellent relationship management skills and… more
- Charles Schwab (Westlake, TX)
- …financial services industry, ideally in a regulatory compliance role at a regulated Broker Dealer , FCM, FDM, exchange or regulatory agency. + Prior experience ... advisor industry regulatory practices and securities rules. + Familiarity with Broker Dealer operations, including equity/fixed income trading and trade… more
- OTC Markets Group Inc (New York, NY)
- OTC Markets Group Inc VP, Senior Investor Relations Success Manager - Corporate Services OTC Markets Group - New York, NY - Full Time OTC Markets Group Inc., ... of premier US financial marketplaces, is seeking a VP, Senior Investor Relations Success Manager to join...by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under… more
- Bank of America (Charlotte, NC)
- …matter expertise in US regulatory reporting (eg Y-14, Y-9C, 009, Y-15, 031), broker dealer reporting or SEC financial reporting (10K/10Q) + Experiencing in ... Senior Audit Manager Charlotte, North Carolina **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer a friend **To… more
- Lincoln Financial (Radnor, PA)
- …available for this opportunity. **Requisition #:** 74752 **The Role at a Glance** The Senior Project Manager & Business Analyst - Corporate Finance you will ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Scotiabank (New York, NY)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... Manager , Compliance Testing **Requisition ID:** 223397 **Salary Range:**...testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
