- 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
- BMO Financial Group (New York, NY)
- …- dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance programs. Broker - dealer businesses ... The BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and… 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
- Guardian Life (Holmdel, NJ)
- …partners on the following functions: 1. Advisor as Portfolio Manager : model creation, management, trading 2. Multi-Account/Strategy proposals and implementation ... clients' requests. + Collaborate with various internal departments including compliance , licensing, operations, internal clearing firm, and 3rd Party… 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
- 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
- Robert Half Finance & Accounting (Minneapolis, MN)
- …enhancements to improve efficiency and oversight. Qualifications 7+ years of relevant compliance experience; prior institutional broker - dealer experience is ... Description Compliance Manager Are you an experienced compliance professional ready to lead and enhance compliance programs in the financial services… more
- Athene (West Des Moines, IA)
- …responsible for leading and developing a team of Internal Wholesalers within the Broker Dealer distribution channel. This role oversees daily sales activities, ... or the department. + Is a key partner with the Divisional Vice President, Broker Dealer Channel in ensuring internal and external wholesaler partnerships are… more
- City National Bank (New York, NY)
- …other regulatory affairs. * Experience with a financial institution such as a broker / dealer and/or registered investment adviser. * Experience working within a ... INVESTMENT ANALYTICS & TRADE MONITORING MANAGER *ABOUT US* City National Rochdale (CNR) partners...Analytics and Trade Monitoring will establish and develop the Compliance Trade Oversight Program by leading, configuring, and overseeing… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …procedures of the financial services industry. + Bank holding company and retail broker dealer clearing firm operations. **Skill in:** + Experience drafting ... of the Raymond James business model. + Plays a role in the compliance reporting processes, including exception reporting, and approves corrective actions. + Works… more
- Capital One (Mclean, VA)
- …commercial and/or retail banking + Certified Risk Professional, Certified Regulatory Compliance Manager certification, or Certified Internal Auditor, or ... Senior Director, Compliance Test Lead for Commercial Banking, Corporate Functions...for Commercial Banking (includes commercial lending, treasury management, institutional broker -dealers and CFTC swap dealer ), Corporate Functions… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- USAA (San Antonio, TX)
- …in annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. + Excellent relationship management skills and ... level of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices… more
- Lincoln Financial (Hartford, CT)
- …#:** 74829 **The Role at a Glance** We are excited to be hiring a ** Manager , Compliance testing team** role in our Retirement Plan Services business line in ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- JPMorgan Chase (Jersey City, NJ)
- 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...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
- Guardian Life (Nashville, TN)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more
- Charles Schwab (Westlake, TX)
- …, audit, or regulatory risk management experience in a financial services retail broker dealer or investment advisory role. + Strong knowledge of financial ... We are seeking a highly organized and results-oriented Senior Manager to join the Retail Supervision & Risk Management...services broker - dealer and Investment Advisory industry standards, best… more
- Charles Schwab (San Francisco, CA)
- …2052a) preferred. * Demonstrated detailed knowledge of finance * Deep knowledge of broker / dealer liquidity and collateral requirements * Extensive experience ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...and knowledge required in broker / dealer operations * Experienced with treasury functions… more
- Charles Schwab (Indianapolis, IN)
- …Nexis. + Bachelor's Degree is a plus (but not required). + Experience with a securities broker - dealer is a plus (but not required). + Familiarity with bank and ... direct reports. The primary role of the SVI Investigations Manager is to investigate incidents of potential elder financial...broker - dealer business practices is a plus (but… more