- Truliant Federal Credit Union (Greensboro, NC)
- …as 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 of… more
- Russell Tobin & Associates (New York, NY)
- …Desirable but not required - product inductions and training will be provided. Dealer -board / Turret technologies (IPC Unigy, Broker lines, hoot bridges) ... of the Trading Voice and Voice Recording infrastructure. Perform ready for business checks. Troubleshooting any Trading Voice and Voice recording related issues.… more
- Robert Half Management Resources (New York, NY)
- …functions. Prior FINOP or related experience very helpful. Must have knowledge of Broker Dealer domain. Responsibilities: * Oversee broker dealer ... industry. As our Audit Director, you will be tasked with conducting broker - dealer audits, developing and implementing audit programs, and managing accounting… more
- TD Bank (New York, NY)
- **Work Location** : United States of America **Hours:** 40 ** Line of Business :** Finance **Pay Detail:** $60,000 - $135,00 USD TD is committed to providing fair ... this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its Product Control division in New… more
- Citizens (Tarrytown, NY)
- …in developing Private Wealth risk and compliance programs for dual-registered Broker - Dealer /Registered Investment Advisor, and RIA serving ultra-high net worth ... Risk Management has an immediate opening for a First Line Risk Senior Manager supporting our Private Wealth Management...+ 6+ years' Risk and Compliance experience with advanced Broker - Dealer , Registered Investment Advisor, 12 CFR 9… 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
- 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
- PNC (Pittsburgh, PA)
- …accounting, and funding and treasury management related requirements for the Capital Market's broker dealer business . * Support the organization's daily, ... regulatory capital monitoring and treasury management functions for the broker dealer business . Support daily...improvement projects. * Work as a liaison with second line of defense groups in providing support over control… more
- Zions Bancorporation (Salt Lake City, UT)
- …to the non-bank divisions of Zions Bancorporation including but not limited to Broker Dealer , Capital Markets and Public Finance groups. Responsibilities: A Risk ... also to enhance and improve existing programs and challenge business line assertions and assessments. Specific responsibilities...on compliance and risk topics pertinent to the institutional broker dealer , bank dealer and… more
- Capital One (New York, NY)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... dealers and provide compliance support to the Capital Markets line of business , a division within the...framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... non-U.S. entities). The role requires leading workshops with 1st line of defense ("1LOD") and Compliance and other 2nd...focus of this role will be on the US broker dealer and US swap dealer… more
- Bank of America (Jacksonville, FL)
- …Monitor regulatory changes applicable to Global Financial Crimes focusing specifically on broker - dealer impacts + Engage with the Financial Crimes Analytics Team ... Act/Anti-Money Laundering laws, rules and regulations driving the front line units (FLUs) to comply with the Global Financial...drive thematic reviews of key risk areas for the broker - dealer and develop/enhance GFC automated detection tools… more
- TD Bank (Greenville, SC)
- …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 (San Francisco, CA)
- …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
- Scotiabank (New York, NY)
- …international banking organization with institutional trading & sales, investment banking, institutional broker dealer or FCM/swap dealer businesses. + ... is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and...risk assessments processes. + Familiarity with US bank and broker dealer laws, rules, and regulations applicable… more
- Truist (Winston Salem, NC)
- …the day-to-day supervisory reviews that are performed. + Supervisory responsibility for Broker Dealer trading activity. + Utilize multiple systems to ensure ... that are routinely associated with those of a retail broker / dealer to engage with advisors in the...time. + Engage in risk management activities with the line of business , proactively identifying existing and… more
- Bank of America (Charlotte, NC)
- …process improvements and simplifications to enable increased focus on strategic priorities ** Line of Business Job Description:** The primary responsibility is to ... Sarbanes-Oxley (SOX) Program, the FR Y-14 CFO Attestation Program, and the Broker - Dealer and Environmental, Social & Governance (ESG) Internal Control Programs.… more
- Scotiabank (New York, NY)
- …on assignments. + Work with auditors within the audit department to perform end-to-end business line reviews + Maintain knowledge of the business , regulatory ... is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and...Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- Wells Fargo (New York, NY)
- …support of Markets business (including Prime Brokerage, FCM, FX, Swap Dealer , and Broker Dealers in US and EMEA) across documentation, withholding, ... Banking Operations. Learn more about the career areas and business divisions at wellsfargojobs.com . Tax Operations leads global...completed by other team members + Partner with vendors, Broker Dealer Operations, Middle Offices, and other… more
- NatWest Markets (Stamford, CT)
- …urgent first line decisioning support to our US Capital Markets business + Drive partnership with global teams to identify areas of process simplification ... ensure the proper operations of the department and the business . **Purpose** The NatWest Markets US Client Services team...In-depth knowledge of pre-trade client onboarding processes related to broker - dealer , swap dealer and capital… more
