- 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....within an enterprise -level risk management framework. The Compliance Advisor Senior Manager also assists the Broker… more
- Charles Schwab (Phoenix, AZ)
- …to improve the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer / Asset Management enterprise team is seeking an ... management, control, and governance processes specifically around applications supporting the Broker - Dealer /Asset Management enterprise . This position is… more
- Charles Schwab (Westlake, TX)
- … professional to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though ... years of experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment advisory businesses,… more
- Truist (Richmond, VA)
- …levels of management **Preferred Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven compliance ... compliance risk oversight of assigned business units ( Broker Dealer ) and/or functions. Leads and executes... compliance risk management activities to reasonably ensure compliance with the Enterprise Compliance … more
- 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
- Charles Schwab (Phoenix, AZ)
- …the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal ... management, control, and governance processes specifically around applications supporting the Broker - Dealer /Asset Management enterprise . This position will… 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 risks, including driving collaboration and efficiencies between relevant compliance teams and partners throughout the enterprise . Principal… more
- US Bank (Minneapolis, MN)
- …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
- Charles Schwab (Westlake, TX)
- …operates through multiple regulated entities, and requires facility with multiple compliance subject matter disciplines, including broker / dealer , investment ... functions, Legal and Internal Audit. The Managing Director, Schwab Compliance , leads an enterprise compliance ...The Managing Director, Schwab Compliance , leads an enterprise compliance risk management organization within Schwab… more
- 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 (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 (Charlotte, NC)
- … and Operational Risk Management (CORM) Program, the Financial Crimes and Global Compliance - Enterprise Policy and Global Standard and the Enterprise ... Monitor regulatory changes applicable to Global Financial Crimes focusing specifically on broker - dealer impacts + Engage with the Financial Crimes Analytics Team… more
- T. Rowe Price (Baltimore, MD)
- …for T. Rowe Price's investment companies, investment advisers, transfer agents and broker - dealer . This person will serve as Chief Compliance Officer for T. ... and laws. This position helps set the strategic direction of the enterprise compliance program and is responsible for the implementation of the policies,… more
- PNC (Pittsburgh, PA)
- …objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework. **Competencies** Audit And Compliance Function - ... Manager you will be within PNC's Internal Audit organization, supporting the Compliance Audit team specializing in the following business segments; Broker… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …edits, and negotiates third-party agreements including those critical to the operation of a broker - dealer and a bank holding company. * Advises on privacy and ... cybersecurity law compliance and incident management matters. * Advises on intellectual...focus on contracts required for the operation of a broker - dealer and bank holding companyManaging a heavy… more
- Bank of America (Charlotte, NC)
- …risk management. **Key Responsibilities:** + Participate in BANA / Parent Company / Broker - dealer cash and liquidity forecasting routines to identify risks and ... recording trades, ensuring operational cohesiveness and performing investor and dealer analysis. Evaluate funding opportunities with partners across the companies… more
- 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
- Bank of America (Phoenix, AZ)
- … 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
- Capital One (New York, NY)
- … Dealers + Manage manual screening processes (Bridger Web) + Escalation point for Broker Dealer , Investment Bank, Sales, Research and Trading and Mergers & ... candidate should feel comfortable engaging with multiple partner groups, like Compliance and Legal teams, to translate regulatory requirements into operational… more
- Manulife (Boston, MA)
- …for Manulife John Hancock's investment products. Channel specific coverage includes Broker - Dealer /Platforms and Turnkey Asset Management Programs (TAMPs). ... and/or institutional investors + Maintain responsibility for business channel knowledge ( Broker - Dealer /Platforms, TAMPs, and the Bank Trust channel), monitoring… more