- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will ... be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO")...The BD CCO will interact with and advise senior management of the CBD LOBs and ensure effective methods… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager ... will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role...and state laws and regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists… more
- City National Bank (Los Angeles, CA)
- **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with daily ... supervision of Broker Dealer and Investment Advisory activity. Responsible...and to identify areas of improvement and works with management to create and implement new processes and procedures.Act… more
- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its legal entity control division in ... limited to: + Assist in the coordination, preparation and management of our timely month end close. + Review...Series 27 preferred but not required. Working knowledge of broker - dealer regulatory environment is a must. +… more
- Guardian Life (Holmdel, NJ)
- …serve as the expert on all aspects of our managed account model management , trading platform, annuity operations as well as all associated custody, clearance, and ... on the following functions + Advisor as PM: model creation, management , trading + Multi-Account/Strategy proposals and implementation + Envestnet Trading methodology… more
- MUFG (New York, NY)
- …for US Broker Dealer including Intraday monitoring, collateral management , cash flow forecasting, stress testing, and compliance with ALM guidelines. ... management reporting and analysis for the Canadian Broker Dealer . The AVP will partner extensively...for liquidity. + Develop and enhance collateral monitoring and cash flow forecasting reporting. + Continue to build out… more
- Hold Brothers (New York, NY)
- …- dealer experience working in Operations and/or Finance as a FINOP or Finance management position at a self-clearing broker - dealer . + Expert knowledge of ... Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of...including but not limited to Operations, Finance, Compliance, Risk Management , Cash Management , and Treasury… more
- SMBC (New York, NY)
- …team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… 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 ... focus of this role will be on the US broker dealer and US swap dealer...dealer . The candidate should have a strong risk management / internal control mindset to apply and assess… more
- Raymond James Financial, Inc. (Seattle, WA)
- … broker - dealer and custodian for many of our affiliated broker dealer / investment advisor subsidiaries, including RJFS and RJFSA. Additionally, RJA ... _About Raymond James:_ _RJA is an investment adviser and full-service broker - dealer dually registered with the Securities and Exchange Commission.… more
- SMBC (New York, NY)
- …as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...solid foundation in US securities laws and regulations and broker dealer operations. + Ability to communicate… more
- TD Bank (Marlton, NJ)
- …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 ... and suitability for and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as...to communicate effectively with all levels of staff and management + Ability to prioritize and multi-task with a… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... traded products. SMBC Nikko Securities America, Inc. is a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority… more
- SMBC (Jersey City, NJ)
- …to its employees. **Overview** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services to ... reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA… more
- SMBC (Jersey City, NJ)
- …- dealer ** SMBC Nikko Securities America, Inc (the Firm), a registered broker dealer , provides investment securities and other financial services to corporate ... + Proficiency MS Office Suite (Word, Excel, Visio) + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1) a… more
- Tradeweb (New York, NY)
- …Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations, securities regulations, and financial reporting standards. ... data + Daily revenue tracking for estimates and internal management queries + Prepare ad hoc requests from Dealerweb...+ 5+ years of experience in securities accounting and/or broker dealer operations within the financial services… more
- TD Bank (New City, NY)
- …to Wealth Management activities + 5 years of expeirence in broker dealer and RIA environments **Customer Accountabilities:** + Provides expert/specialized ... against financial crimes.Included in the US Wealth division is the registered broker - dealer and registered investment adviser (RIA). **Depth & Scope:** +… more
- Morgan Stanley (New York, NY)
- …related services, including investment management , brokerage, lending, deposits, and cash management through our network of 17,000 Financial Advisors, ... Group ("PBG") offers a variety of lending, deposit, and cash management solutions such as securities-based loans,...The role requires an understanding of both bank and broker dealer SBL product offerings. In addition… more
- JPMorgan Chase (Portland, OR)
- …limited to, financial planning, goals-based investing, financial advisory at a broker - dealer , RIA and/or a private bank, affluent/high-net-worth solutions, and ... The Private Client experience at JP Morgan offers a pathway to Wealth Management through comprehensive, expert planning. The Private Wealth Planner (PWP) role is… more
- TD Bank (New York, NY)
- …be obtained with 6 months of starting; + 3-5 years of experience; preferable in the broker dealer requirement + Excel Skills; advanced excel skills is a plus; + ... entities as well as providing key metrics internally for management of business , risk and control purposes. The...the the US regulated entities which includes the institutional broker and swap dealers as well as key external… more