- Charles Schwab (Phoenix, AZ)
- …solutions; and (vi) middle and back office operational functions. Reporting to a Director of the Broker - Dealer / Asset Management team, the Internal ... have** + 7-10+ years of IT audit experience with increasing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or similar… more
- Charles Schwab (Westlake, TX)
- …functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior Auditor will have responsibility for ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- Charles Schwab (Phoenix, AZ)
- …functions. Reporting to a Director or Senior Manager of the Broker - Dealer /Asset Management team, the Internal Audit Technology Senior Specialist will have ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- SMBC (New York, NY)
- …in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates ... Latin America. SMBC Nikko Securities America, Inc. is a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more
- JPMorgan Chase (Chicago, IL)
- …emotion from the equation **Job Summary** As a Sales Desk Manager for our Independent Broker Dealer (IBD) Channel, you will lead our team of Internal Client ... train, and lead teams of Internal Client Advisors (internal wholesalers) in the Independent Broker Dealer (IBD) channel. The role can be located in either… more
- Vanguard (Malvern, PA)
- …inquiries response on behalf of Vanguard Marketing Corporation, an affiliated self-clearing broker dealer and distributor of Vanguard products. The Regulatory ... Compliance Director , Regulatory Exam Response Advocate for all investors...state, and other regulatory requirements applicable to a self-clearing broker - dealer and transfer agent holding retail investor… more
- Wells Fargo (St. Louis, MO)
- …MSRB specific regulations + In-depth compliance programs experience including experience in Bank Dealer , Broker - Dealer , and Swap Dealer activities + ... **About this role:** Wells Fargo is seeking a **Compliance Director ** in Corporate Risk to manage a team of compliance professionals who provide compliance support… more
- Charles Schwab (Westlake, TX)
- …and requires facility with multiple compliance subject matter disciplines, including broker / dealer , investment adviser, banking, and others. As with all ... the desire to help our clients and one another succeed. The Managing Director , Schwab Compliance, is one of several key leadership roles within Schwab Compliance… more
- Morgan Stanley (Baltimore, MD)
- …regulatory requirements * Strong understanding of the financial markets and banking, including broker - dealer product -based knowledge and the ability to learn ... right team for you. Your Key Responsibilities: As an experienced Investigations Director /Vice President in GFC, you will: * Lead suspicious activity investigations,… more
- JPMorgan Chase (Columbus, OH)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... commitment to diversity and inclusion. Using a broad investment product and thought leadership platform along with cutting edge...solutions to meet their financial needs. As a Market Director of Wealth in JP Morgan Wealth Management, you… more
- Morgan Stanley (Baltimore, MD)
- …professionals * Strong understanding of the financial markets and banking, including broker - dealer product -based knowledge, and the ability to research ... unit personnel in a mature and professional manner and apply feedback on work product from supervisor(s) * Ability to manage and adapt to the fast-paced environment… more
- Morgan Stanley (Alpharetta, GA)
- …Ability to function successfully in ambiguous conditions. - Prior experience with broker / dealer and institutional account opening, management and inner workings ... Implement and oversee operational processes with regard to new relationships and product launches. - Reviews daily, weekly and monthly exceptions related to… more
- Citigroup (New York, NY)
- …risk and governance programs that meet regulatory expectations, for example US Broker - Dealer Supervision Rules (FINRA 3110, 3120, etc,) and, or Prudential ... sustains a network of strong partnerships with the business (relationship and product management) and other functions, particularly decision makers and influencers +… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides intvestment securities and other financial services ... reports, and other daily accounting functions. Reporting to the Director of Accounting, this position will be responsible for...financial service industry + 2+ years of financial reporting ( broker dealer experience is a strong plus)… more
- AutoNation, Inc. (Colorado Springs, CO)
- …with Service Customers, Sales Associates, Sales Managers, Service Advisors, Service Director , other associates, Financial Services Manager, and support staff. Job ... fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job fair,… more
- AutoNation, Inc. (Fort Worth, TX)
- …with Service Customers, Sales Associates, Sales Managers, Service Advisors, Service Director , other associates, Financial Services Manager, and support staff. Job ... sales, internet sales, fleet, manager, telemarketer, telemarketing, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job… more
- Morgan Stanley (Alpharetta, GA)
- …the Legal and Compliance Division and Risk Department responsible for Morgan Stanley's broker - dealer and bank entities to ensure that all necessary support, ... plan administration business. This position will report directly to the Managing Director responsible for overall legal oversight of Morgan Stanley at Work.… more