- 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 this is an Individual Contributor position, the Senior Manager will be able to make a broad impact...experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment… more
- Charles Schwab (Westlake, TX)
- …CRCP and CAMS) + General understanding of financial holding company, bank, broker - dealer , and investment advisory businesses, as well as testing ... and engaging Compliance Professional to join the team, as a Senior Manager , responsible for conducting retail and independent branch office compliance testing. The… more
- Charles Schwab (Phoenix, AZ)
- …efficiency of governance processes, risk management, and internal controls. The Broker - Dealer / Asset Management enterprise team is seeking an Internal Audit ... have** + 7-10+ years of IT audit experience with increasing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or similar… more
- 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
- Charles Schwab (Phoenix, AZ)
- …of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit Technology ... 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 of 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
- Charles Schwab (Westlake, TX)
- …you have** Required Qualifications: + 6-8 years relevant financial services experience, including broker dealer and retail experience + 5+ years supervisory, ... goals as well as the regulatory and industry environment. The Senior Manager , Supervisory Risk Management will concentrate on regulatory risk management and… 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
- CIBC (New York, NY)
- …CIBC, please visit CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/ Broker - Dealer /Swap ... Head of US Compliance Examination Program, the Compliance Examination Manager is accountable for execution of the US Compliance...of business controls established to ensure adherence with US broker - dealer and US swap dealer … 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
- Bank of America (Jersey City, NJ)
- …Engaging with the Financial Crimes Analytics Team to drive thematic reviews of key risk areas for the broker - dealer and develop/enhance GFC automated ... + Participate in Regulatory Meetings and Exams to provide Risk Manager perspective on critical issues +...10+ years of financial services industry experience, preferably with broker / dealer and/or related government entity, as well… 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 (Minneapolis, MN)
- …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
- 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
- T. Rowe Price (San Francisco, CA)
- …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