- Capital One (Mclean, VA)
- …regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping ... States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The...and interpret to ensure a consistent and adequate Compliance Risk Management + Maintain and enhance the LOB's policies… more
- Bank of America (New York, NY)
- Business Control Manager - Broker Dealer Customer Protection Manager -Global Market Operations New York, New York **Job Description:** At Bank of America, ... treatment for custody, processing flows and/or new business proposals under the US broker dealer regulatory customer protection rules, with specific focus on… more
- Charles Schwab (Westlake, TX)
- …of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior ... risks are identified and appropriately reported by management and risk functions to the Board and Executive Management, to...office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management… more
- Citizens (Westwood, MA)
- …career with exciting new challenges and opportunities to stretch yourself! As the First Line Risk Manager , you will represent the first line of defense and play ... being taken. You will work closely with the Sr Manager of First Line Risk and other...be responsible for: + Reviewing and approval of all broker dealer marketing and advertising materials submitted… more
- Truist (Charlotte, NC)
- …financing. 5. Advanced knowledge of risk infrastructure including regulatory framework for broker dealer and swap dealer entities 6. FINRA Series 7, ... management experience in financial services or related field. 3. Financial Risk Manager (FRM)/Certified Financial Analyst (CFA) or equivalent advanced risk … more
- Bank of America (Charlotte, NC)
- Compliance & Operational Risk Manager - Quality Assurance Charlotte, North Carolina **Job Description:** At Bank of America, we are guided by a common purpose to ... and connects to team strategy, priorities and contributions. + Risk Manager : Ensures proper risk ...years experience covering global markets compliance for US institutional broker - dealer or bank + Bachelor's degree or… more
- Bank of America (New York, NY)
- Volcker EAC Compliance and Operational Risk Manager New York, New York **Job Description:** At Bank of America, we are guided by a common purpose to help make ... experience covering markets compliance for a major US institutional broker - dealer or bank. working knowledge of the...The Enterprise Area of Coverage (EAC) Compliance & Operational Risk (C&OR) Manager is a subject matter… more
- Bank of America (Charlotte, NC)
- Compliance and Operational Risk Manager Charlotte, North Carolina;Pennington, New Jersey **Job Description:** At Bank of America, we are guided by a common ... for executing second line of defense compliance and operational risk oversight for a Front Line Unit (FLU). Key...departments, such as Legal, Operations, Financial Crimes Compliance, and broker - dealer Supervision + Work closely with other… more
- Deloitte (Jersey City, NJ)
- …risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting, controls, ... Financial Advisory Risk , Data and Regulatory Liquidity - Senior Manager Deloitte Risk and Financial Advisory's Financial Services Industry (FSI) Risk ,… more
- Bank of America (Charlotte, NC)
- …Engage with the Financial Crimes Analytics Team to drive thematic reviews of key risk areas for the broker - dealer and develop/enhance GFC automated detection ... and connects to team strategy, priorities and contributions. + Risk Manager : Ensures proper risk ...+ 10+ years of financial services industry experience, preferably broker / dealer experience + Must be a self-motivated… more
- ManpowerGroup (Charlotte, NC)
- …Credit, FX, etc. * Experience in large and complex banking or broker / dealer institutions, risk management leadership experience in multi-jurisdictional ... Clients has a new opportunity as a Senior Project Manager supporting the Global Liquidity Management team. If you...Office (COO) organization and will be responsible for providing risk management support and execution to the Markets business.… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk , and is represented by the Chief ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… 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 ... **Job Description** The Corporate Audit Services (CAS) Senior Audit Manager - Wealth, Commercial, Capital Markets is a senior...Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC… 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 & ... a key component of the role. **Responsibilities** **:** **Swap Dealer Regulatory Onboarding** **:** + Lead and manage the...York City (Hybrid On-Site): $172,900 - $197,300 for Sr. Risk Manager Candidates hired to work in… more
- Nuveen Investments (Charlotte, NC)
- …Nuveen Canada Company, Compliance Programs. Nuveen Securities, LLC, is a registered US broker - dealer , which serves as the underwriter and distributor for the ... the securities industry, working for an investment adviser or broker - dealer . + Series 6 or 7; Series...+ Proven knowledge of relevant securities laws, regulatory compliance, risk management and risk controls. + Ability… more
- T. Rowe Price (Baltimore, MD)
- …development of strategic relationships with the Centers of Influence (COI) at our largest broker dealer clients to execute on account plans and firm goals. In ... make a difference. We are a premier asset manager focused on delivering global investment management excellence and...management for large, highly complex accounts with our top Broker Dealer clients (Morgan Stanley Wealth Management,… more
- Scotiabank (New York, NY)
- …**What You'll Bring:** + A minimum of 3-4 years with a bank or broker - dealer + Foundational understanding of securities laws and regulations pertaining to ... Manager , CIB & Research Compliance Officer **Requisition ID:**...provides a full range of investment banking, credit and risk management products and services relevant to the financing… more
- Guardian Life (New York, NY)
- …Quick to identify gaps or risk exposures in a dually affiliated broker - dealer and investment advisor and to develop and implement strong checks-and-balances ... overall compliance framework for PAS as a dually registered broker - dealer and investment adviser. The incumbent will...a partner to the various constituencies + An impactful manager that excels at managing teams, problem resolution, dealing… more
- Atria Wealth Solutions (Charlotte, NC)
- …and registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track record of serving the investment ... for meeting the monthly goals set by the reporting manager . These goals include, but are not limited to,...offered through CUSO Financial Services, LP ("CFS"), a registered broker - dealer (Member FINRA/SIPC) and SEC Registered Investment… more
- HUB International (Omaha, NE)
- …66 licenses are preferred. + Prior experience in a support role at an independent Broker / Dealer or Wire House is helpful but not required. + Experience using ... so, this is the career for you.** As a Manager of Investment Services **,** you will **build relationships**...broker , providing a broad array of property, casualty, risk management, life and health, employee benefits, investment, and… more