• Commercial Broker Dealer

    Capital One (Mclean, VA)
    Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior ... Officer. This role will serve as the Deputy Commercial Broker Dealer Compliance Officer supporting...within an enterprise -level risk management framework. The Compliance Advisor Senior Manager also assists the Broker more
    Capital One (02/22/24)
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  • Business Control Manager- Broker

    Bank of America (New York, NY)
    …* Risk Management - 5+ years of experience in US Broker Dealer operations or front office or related regulatory/ compliance expertise. * Quality Assurance ... Business Control Manager- Broker Dealer Customer Protection Manager-Global Market...to support Client Operational Services and ensure adherence to enterprise -wide standards * Supports the monitoring and testing of… more
    Bank of America (03/20/24)
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  • Senior Audit Manager - Personal Trust, Asset…

    US Bank (Milwaukee, WI)
    …responsible for leading the audit team owning the Personal Trust, Asset Management, and Broker Dealer products. This role supports the Audit Director for Wealth ... for all WMIS product related issues across the entire enterprise and supporting other Audit Directors and Senior Audit...experience. + Ten or more years of personal trust, broker dealer , and asset management audit experience… more
    US Bank (03/13/24)
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  • Compliance Director, Regulatory Exam…

    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 risks, including driving collaboration and efficiencies between relevant compliance teams and partners throughout the enterprise . Principal… more
    Vanguard (03/05/24)
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  • Executive Director, Private Side Compliance

    Santander US (New York, NY)
    …side businesses and will be responsible for continuously enhancing the overall regulatory Compliance Program for the enterprise and its affiliates. S/he is ... responsible for maintaining oversight, control and direction for enterprise -wide compliance with various Federal, State and...to the New York Branch, and the US registered broker - dealer across activities, including Debt and Equity… more
    Santander US (02/04/24)
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  • Senior Audit Manager - Wealth Management, Capital…

    US Bank (Irving, TX)
    …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Wealth Operations, Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC Regulations, FINRA… more
    US Bank (03/13/24)
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  • Compliance & Operational Risk Manager-…

    Bank of America (Charlotte, NC)
    …will have the following qualifications: + 8+ years experience covering global markets compliance for US institutional broker - dealer or bank + Bachelor's ... Third Parties. Key responsibilities include ensuring requirements of the Global Compliance Enterprise Policy, the Operational Risk Management Enterprise more
    Bank of America (03/28/24)
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  • Volcker EAC Compliance and Operational Risk…

    Bank of America (New York, NY)
    …* 5 years' experience covering markets compliance for a major US institutional broker - dealer or bank. working knowledge of the Volcker Rule a plus; * Strong ... Description:** This job is responsible for the execution of the Global Compliance - Enterprise Policy, the Operational Risk Management - Enterprise Policy… more
    Bank of America (03/23/24)
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  • Senior Financial Reporting Analyst

    Wells Fargo (Charlotte, NC)
    …issues with both internal and external audit staffs, as well as, banking and broker dealer regulators. **Required Qualifications, US:** + 4+ years of Finance, ... authorities + 4+ years of experience in a financial service firm with broker dealer regulatory reporting experience. + Strong knowledge and understanding of… more
    Wells Fargo (03/20/24)
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  • GCO Senior Risk Advisor II - Capital Markets

    Truist (Atlanta, GA)
    …strong experience supporting Capital Markets - including but not limited to: Institutional Broker Dealer , Swap Dealer and/or Securities-based Swap Dealer ... implementation across Truist (where applicable). + Advocate the Bank's risk culture, compliance with enterprise risk initiatives and promote sound risk… more
    Truist (03/28/24)
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  • Global Financial Crimes Specialist

    Bank of America (Pennington, NJ)
    … and Operational Risk Management (CORM) Program, the Financial Crimes and Global Compliance - Enterprise Policy and Standards. This individual will use various ... controls, client behavior and transaction trends + Identify potentially suspicious broker - dealer activity such as insider trading, market abuse/market… more
    Bank of America (03/21/24)
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  • Global Financial Crimes Specialist

    Bank of America (Pennington, NJ)
    … and Operational Risk Management (CORM) Program, the Financial Crimes and Global Compliance - Enterprise Policy and Standards. This individual will use various ... Single Process Inventory control assessments, etc.) + Identify potentially suspicious broker - dealer activity such as insider trading, market abuse/market… more
    Bank of America (03/20/24)
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  • GCO Senior Risk Advisory Manager - CIB

    Truist (Charlotte, NC)
    …asset financing. 5. Advanced knowledge of risk infrastructure including regulatory framework for broker dealer and swap dealer entities 6. FINRA Series ... for leading a team of risk professionals to support the execution of enterprise risk programs and focusing with the business on existing and emerging risks.… more
    Truist (03/26/24)
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  • Lead Regulatory Relations

    City National Bank (Los Angeles, CA)
    …the ability to effectively manage and build relationships within the Corporate Risk Compliance teams and enterprise Risk function. + Experience managing or being ... Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management Compliance more
    City National Bank (03/07/24)
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  • Director Advisory Oversight SAR Reporting

    Edward Jones (St. Louis, MO)
    …The individual will serve in this capacity for the US & Canadian Broker Dealer . **Responsibilities:** + Responsible for leading multiple departments in support ... implement and administer the internal controls in support of the Firm's Compliance with BSA/AML policies. This role requires comprehensive knowledge and skills in… more
    Edward Jones (03/27/24)
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  • Advisory Financial Services Risk, Data…

    Deloitte (Atlanta, GA)
    …within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting, ... responsibilities will include: Work you'll do: + Develop and implement enterprise -wide programs to efficiently and comprehensively address regulatory and business… more
    Deloitte (03/28/24)
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  • Global Financial Controls; US Bank Agency…

    Bank of America (Charlotte, NC)
    …review, and submission of US financial regulatory reports for the bank, broker - dealer , and certain non-bank subsidiaries and works closely with business ... monitor changes to reporting instructions and business products. + Ensure compliance the Regulatory Reporting- Enterprise Policy. **Required Skills:** + In-depth… more
    Bank of America (01/17/24)
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  • Risk Management Specialist

    Federal Reserve System (Chicago, IL)
    …personal trust, retirement accounts, investment advisory, corporate trust, custody, fund services, broker / dealer , etc. The Risk Management job family focuses on ... Assess the adequacy of risk management systems, policies and procedures, and compliance with laws and regulations. + Understand the interrelationship of banking… more
    Federal Reserve System (03/26/24)
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  • Financial Specialist - Capital & Liquidity (CFO…

    Bloomberg (New York, NY)
    …and financial planning & analysis within the financial services industry + Knowledge of broker dealer , MTF, ATS, APA or ARM or any regulated industry. + ... seeking a Capital and Liquidity Senior Specialist in the Enterprise Products division to support the CFO Regulated Entity...own funds requirement / Overall Financial Adequacy Rule (OFAR) compliance + Well versed in the UK Companies Act… more
    Bloomberg (03/16/24)
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  • Americas Senior Equities Risk & Control Officer…

    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 ... in the implementation of policies, standards and procedures that conform to enterprise requirements and support sound operational and compliance risk management.… more
    Citigroup (03/14/24)
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