- Huntington National Bank (Columbus, OH)
- …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 ... activity. Review applicable regulatory rules and interpretations to maintain firm compliance and participate in the research and implementation of new and/or… more
- USAA (Colorado Springs, CO)
- …annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and demonstrated ... level of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices… more
- Ameriprise Financial (Austin, TX)
- …work experience Obtain and maintain appropriate registrations to provide oversight on broker / dealer operations and develop advisor training Active FINRA Series 7 ... The Branch Manager role leads one or more Ameriprise owned...and able to develop networks within the community Excellent compliance record Preferred Qualifications: Masters degree and/or relevant industry… more
- Fulton Bank (Bethlehem, PA)
- …63 (or Series 66). (Required) Must be able to be affiliated with our Broker Dealer . (Required) Knowledge, Skills, and Abilities Knowledge of investment industry ... client transactions, such as trades, deposits, and withdrawals, while ensuring compliance with regulatory requirements. Solicits and receives orders for the… more
- ASK Staffing (Boston, MA)
- …the management and oversight of distribution expense processes for the Companys broker - dealer , including: Expense account ownership Compliance with ... Finance (IM Finance), a team dedicated to supporting a leading global asset manager across public and private markets. IM Finance team members are involved in… 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...specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes and… more
- Charles Schwab (Westlake, TX)
- …Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit Manager . The Broker - Dealer /Asset Management team provides internal audit ... back office operational functions. Reporting to a Director of the Broker - Dealer /Asset Management enterprise team, the Internal Audit Manager will have… more
- Capital One (Mclean, VA)
- Manager , Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with ... Manager to support Capital One Securities, a broker dealer registered with the Financial Industry...etc.) + Perform regulatory net capital computation and ensure compliance with regulatory guidance + Responsible for monthly account… more
- Charles Schwab (Austin, TX)
- …middle and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- PNC (Chicago, IL)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… more
- Wells Fargo (West Des Moines, IA)
- …+ Experience assessing risks/controls related to Wealth & investment Management and/or Broker Dealer processes. **Job Expectations:** + Ability to travel up ... **About this role:** Wells Fargo is seeking a Vice President, Audit Manager on the Financial Crimes Audit Team. The Financial Crimes Audit Team provides horizontal… 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,...to US Client Asset Protection rules to ensure regulatory compliance and audit readiness. **Responsibilities:** + Assists with defining… more
- M&T Bank (Baltimore, MD)
- …of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk Framework. Oversee the ... team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/ Participations. **Primary… more
- Wells Fargo (Addison, TX)
- …that mitigate audit findings and make recommendations to management + Inform manager of situational issues that might compromise objectivity or independence + Design ... strong customer relationships balanced with a strong risk mitigating and compliance -driven culture which firmly establishes those disciplines as critical to the… more
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager , Compliance Testing **Requisition ID:** 223397...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap … more
- TD Bank (New York, NY)
- …- dealer by hiring, rebuilding/building and managing US based team of compliance officers dedicated to the broker - dealer /registered investment adviser + ... examination teams + Helps coordinate internal audits related to the broker - dealer /registered investment adviser + Advises management on emerging examination… more
- Atria Wealth Solutions (Dublin, CA)
- …of all required Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between Patelco Financial Solutions and other ... L. P. (CFS) Patelco Credit Union is seeking a Manager , Investment Services Program in the Dublin, CA areas....training content for branch teams and vet content with Compliance and our broker - dealer partner,… more
- TD Bank (Portland, ME)
- …enthusiastic colleagues dedicated to setting new industry standards. **Job Summary:** The Compliance Governance & Operations Manager leads the development and ... abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and… more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... compliance policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); .… more
- Charles Schwab (Westlake, TX)
- …and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...build robust analytics to support collateral pledging activities + Broker dealer subject matter expert for items… more
