- Federal Reserve System (Dallas, TX)
- …the strategy, risk management and controls, and financial performance of the broker / dealer and advisory services business line . You will also be ... for overseeing regulatory compliance with the supervised firm's core business lines, with focus on broker / dealer...firm's core business lines, with focus on broker / dealer and advisory services activities. You will… more
- Charles Schwab (Westlake, TX)
- …team as a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though this is an Individual ... years of experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment advisory businesses,… more
- US Bank (Irving, TX)
- … line of business - Considerable understanding of the business line 's operations, products/services, systems, and associated risks/controls - Thorough ... excel at-all from Day One. **Job Description** -Partners with their assigned Line of Business , other Risk/Compliance/Audit (RCA) professionals, and RCA Managers… more
- US Bank (Irving, TX)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...and credible challenge to support the development of effective business line control environments subject to compliance… more