- 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 ... also provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: Support accounting department in… more
- 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
- Careers at KKR (Boston, MA)
- …(preferably in an insurance company, independent marketing organization (IMO), broker - dealer , investment advisor, or alternative asset manager ). *Ability to ... years conducting advertising review for an insurance carrier (preferably annuity), broker - dealer , independent marketing organization, or asset management firm.… more
- Cetera Financial Group, Inc. (El Segundo, CA)
- …to join our team. The Senior Accountant will report to the Senior Accounting Manager . The position will be responsible for supporting various aspects ... of the monthly close and reporting of the financial results of the Broker - Dealer and RIA. The position will assist in implementing process improvements to help… more
- North Star Staffing Solutions (Charlotte, NC)
- …Lending, and Rates portfolios Obtain (if not already held) appropriate licensure for broker - dealer reporting Management of other team members and responsible for ... years management experience. Minimum Qualifications: Previous oversight of or audit of broker - dealer or banking financial statements Ability to compile and… more
- New York Life (Frisco, TX)
- …disability income insurance, and investment products such as mutual funds through our broker - dealer , NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed ... program designed to prime you for success as a manager . You will use that experience to understand how...have opportunities to grow and be promoted to increasingly senior levels of management. How we will compensate you… 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
- 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
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Manager , you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… 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
- Charles Schwab (Westlake, TX)
- …and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for ... ensuring compliance at all times, and escalating issues to senior management as necessary. We work with internal and...build robust analytics to support collateral pledging activities + Broker dealer subject matter expert for items… more
