- Federal Reserve System (Dallas, TX)
- …the strategy, risk management and controls, and financial performance of the broker / dealer and advisory services business line . You will also be ... for overseeing regulatory compliance with the supervised firm's core business lines, with focus on broker / dealer...firm's core business lines, with focus on broker / dealer and advisory services activities. You will… more
- Citizens (Johnston, RI)
- …guidance and feedback related to marketing materials to Marketing and Business Line partners including broker dealer marketing and advertising materials. ... will work closely with Compliance and Legal partners to ensure that the business line is up to date and in compliance with all applicable regulatory… more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will ... be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO")...-dealers and provide compliance support to the Capital Markets line of business , a division within the… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager ... will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role... dealers and provide compliance support the Capital Markets line of business , a division within the… more
- TD Bank (New York, NY)
- **Work Location** : New York, New York, United States of America **Hours:** 40 ** Line of Business :** TD Securities **Pay Detail:** $150,000 - $180,000 USD TD is ... this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its legal entity control division in… more
- US Bank (New York, NY)
- … line of business - Considerable understanding of the business line 's operations, products/services, systems, and associated risks/controls - Thorough ... excel at-all from Day One. **Job Description** -Partners with their assigned Line of Business , other Risk/Compliance/Audit (RCA) professionals, and RCA Managers… more
- JPMorgan Chase (Jersey City, NJ)
- …and skills** + Bachelor's degree required and 3+ years of experience supporting a US broker dealer or front office business within a US broker ... you will challenge the function, interact closely with the line of business (LOB), Legal, Audit, and...as regulatory or audit best practices relating to US Broker Dealer regulations, rules, and laws. **Job… more
- CIBC (New York, NY)
- …to its US Capital Markets business , including as a US registered broker - dealer ; (2) taking reasonable steps to ensure compliance with all SEC, FINRA, ... specialists and value-added partners. Together with the lines of business and in line with CIBC's Risk...a modern world. **What You'll Be Doing** The US Broker - Dealer Chief Compliance Officer (USBD CCO) and… more
- Atria Wealth Solutions (Greenville, SC)
- …all other ad hoc reports as requested. + Fully utilizes the broker - dealer CRM and processing system for all business -related activity documentation. + ... compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures… more
- Atria Wealth Solutions (Greensboro, NC)
- …all other ad hoc reports as requested. + Fully utilizes the broker - dealer CRM and processing system for all business -related activity documentation. Other ... compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures… more
- Scotiabank (New York, NY)
- …operations, and risk conversations. + Knowledge of compliance and controls for broker dealer and derivatives/swap businesses. + Understanding of the operational ... in the review of regulatory and audit findings and work with business line management to formulate responses. + Special projects assignments may include but… more
- CIBC (New York, NY)
- …and effectiveness of business controls established to ensure adherence with US broker - dealer and US swap dealer requirements and compliance with federal ... please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) Compliance Examination Manager for Capital Markets/ Broker - Dealer /Swap Dealer Reporting to the… more
- Atria Wealth Solutions (San Diego, CA)
- …of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations. + 3+ years of ... institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and… more
- City National Bank (San Francisco, CA)
- …business functions and provide insight to the practical impacts/implications to the business line . + Execute essential risk program functions, including Risk ... as the business teams' liaison for all business line risk management, compliance activities, legal...deposit products + - Consumer lending products + - Broker Dealer - FINRA Regulations + -… more
- Guardian Life (New York, NY)
- …requirements. Candidates must have a broad knowledge of US broker - dealer and investment advisory compliance, regulated business environments and key ... for the overall compliance framework for PAS as a dually registered broker - dealer and investment adviser. The incumbent will lead the implementation… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... SMBC Nikko Securities America, Inc. is a SEC-registered securities broker - dealer and member of the Financial Industry...investor clients as part of the SMBC Global Markets business unit. SMBC Global Markets is searching for a… more
- TD Bank (Marlton, NJ)
- …TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a focus ... can provide you more specific details for this role. ** Line of Business :** TD Wealth **Job Description:**...and suitability for and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as… more
- City National Bank (New York, NY)
- …Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible ... **SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS** **WHAT IS...maintain, implement, manage and enhance the capital markets first line risk program for four separate line … more
- TD Bank (New City, NY)
- …apply to Wealth Management activities + 5 years of expeirence in broker dealer and RIA environments **Customer Accountabilities:** + Provides expert/specialized ... Accountabilities:** + Actively assists in developing and overseeing implementation of business line policies and procedures + Collaborates with subject… more
- US Bank (Charlotte, NC)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...and credible challenge to support the development of effective business line control environments subject to compliance… more