- Capital One (Arlington, VA)
- Manager , Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with ... highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA)… more
- Larson Maddox (New York, NY)
- A prestigious and well-established asset manager and broker - dealer , with a growing portfolio of private equity funds, is seeking a dynamic Chief ... Compliance Officer (CCO) to lead and enhance its ... framework across all business lines, including asset management, broker - dealer operations, and private equity. Ensure full… more
- Arena Investors I Quaestor Advisors (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
- USAA (Phoenix, AZ)
- …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
- PIMCO (New York, NY)
- …by the SEC Conduct annual reviews of the Funds, Adviser and limited purpose broker - dealer compliance policies and procedures Participate in the Fund's risk ... evolving regulatory requirements Maintain an understanding of investment company, broker - dealer , and investment advisory compliance ...in a major financial services firm or global asset manager , with a focus on '40 Act products Demonstrated… more
- Equitable (Charlotte, NC)
- … manager required. Thorough knowledge and existing relationships within intermediary broker dealer firms, fund clearing platforms, and model platforms. A ... thoroughly understands the sales process, product offerings, technology capabilities and compliance procedures of the distributor and asset manager . Spearhead… more
- Farther (New York, NY)
- …Reuters, etc.) Previous experience at a wealth management firm, broker - dealer , or fintech company Understanding of compliance requirements in investment ... platform features and investment-related data integration as a Senior Product Manager focused on Investments. You'll own high-impact areas of the investment… more
- Altruist (San Francisco, CA)
- …Domain knowledge and solid understanding of the investment management landscape and broker dealer need Technical aptitude - You're technologically savvy and ... phase and we're excited to hire a Principal Product Manager to join our growing Trading team. The primary...trading Liaise with the Customer Success, Trading Operations, and Compliance teams to investigate issues and work closely with… more
- Altruist (Los Angeles, CA)
- …custodial systems Familiarity with advisor fee structures, custodial billing practices, and compliance requirements in the RIA/ broker - dealer space. Knowledge ... the midst of an exceptional growth phase and we're excited to hire a Product Manager to lead the evolution of our Billing product. This role will be instrumental in… more
- Ameriprise Financial (Providence, RI)
- …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
- Lincoln Financial (Broomall, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... in a Lincoln office Relocation assistance: is not available for this opportunity. Hiring Manager : Paul Chryssikos Requisition #: 74753 The Role at a Glance The AVP,… 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)
- …risk. + Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance . **Job Expectations:** + Ability to travel up ... role:** Wells Fargo is seeking an Exeuctive Director, Audit Manager on the Financial Crimes Audit Team. The Financial...position is not eligible for Visa sponsorship + Specific compliance policies may apply regarding outside activities or personal… 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
- 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 ... activity. + Review applicable regulatory rules and interpretations to maintain firm compliance and participate in the research and implementation of new and/or… 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
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