- Charles Schwab (Phoenix, AZ)
- …have** + 7-10+ years of IT audit experience with increasing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or similar ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer / Asset Management enterprise team is seeking an Internal… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior ... Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of...abreast of new and updated financial industry laws and regulatory requirements (eg, FINRA, NASDAQ and SEC). The Compliance… more
- Charles Schwab (Westlake, TX)
- …efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor ( ... Senior Specialist). The Broker - Dealer /Asset Management team provides internal audit coverage of the...to internal audit and/or similar Big 4 accounting or regulatory experience a plus. + Demonstrated experience performing internal… more
- Charles Schwab (Phoenix, AZ)
- …and (vi) middle and back office operational functions. Reporting to a Director or Senior Manager of the Broker - Dealer /Asset Management team, the Internal ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- Charles Schwab (Westlake, TX)
- …a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though this is an Individual Contributor ... procedures, and systems designed to achieve and/or monitor compliance with applicable regulatory requirements. The Senior Manager is expected to make… more
- Truist (Richmond, VA)
- …for conducting and directing compliance risk oversight of assigned business units ( Broker Dealer ) and/or functions. Leads and executes compliance risk management ... of management **Preferred Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven compliance experience within a… more
- Bank of America (New York, NY)
- …on treatment for custody, processing flows and/or new business proposals under the US broker dealer regulatory customer protection rules, with specific focus ... will also report and advise on pertinent incidents and regulatory requirements with senior stakeholders and engage...5+ years of experience in US Broker Dealer operations or front office or related regulatory… more
- TIAA (Charlotte, NC)
- …acquire within 120 days in the role) + 10+ years of investment advisory, broker - dealer , and securities regulatory requirements, and 3+ years of management ... supporting the growth of the business while protecting the broker - dealer and its associates by ensuring adherence...dealer and its associates by ensuring adherence to regulatory and firm expectations. As part of the business,… more
- Robert Half Finance & Accounting (New York, NY)
- …are recruiting for a Financial Analyst Senior Associate role within a global Broker Dealer firm located in downtown Manhattan New York. Our client requires ... contract negotiations, cost efficiencies and more. As a Financial Analyst Senior Associate, you will be required to provide ongoing quantitative analysis… more
- JPMorgan Chase (New York, NY)
- …liquidity risk, market risk and/or trading of fixed income products. Experience in Broker Dealer products such as Prime Brokerage, Margin loans, client shorts, ... conclusions with respect to potential liquidity risk implications within the firm's broker - dealer business. You will continuously assess emerging risks to Firm's… more
- Capital One (New York, NY)
- …exam support as a key component of the role. **Responsibilities** **:** **Swap Dealer Regulatory Onboarding** **:** + Lead and manage the day-to-day operations ... (22957), United States of America, New York, New York Senior Manager, Capital Markets Regulatory Onboarding Capital...manual screening processes (Bridger Web) + Escalation point for Broker Dealer , Investment Bank, Sales, Research and… more
- Deloitte (Jersey City, NJ)
- Deloitte Risk and Financial Advisory Risk, Data and Regulatory Liquidity - Senior Manager Deloitte Risk and Financial Advisory's Financial Services Industry ... (FSI) Risk, Data and Regulatory professionals help organizations identify the regulatory ...risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk… more
- SMBC (New York, NY)
- …management skills. + 10+ years of regulatory compliance experience at a broker dealer . BA/BS required. Series 7, 24, 79 a plus. **Additional Requirements** ... and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented...a focus on all Fixed Income activities including Primary Dealer . + Provides advice on regulatory and… more
- Charles Schwab (Lone Tree, CO)
- …including the parent holding company (The Charles Schwab Corporation), the broker - dealer companies, three bank charters, and multiple nonbanking subsidiaries. ... "challenge the status quo" and transform the finance industry together. The Bank Regulatory Reporting Team is part of the Corporate Controller's department and is… more
- Vanguard (Malvern, PA)
- …on behalf of Vanguard Marketing Corporation, an affiliated self-clearing broker dealer and distributor of Vanguard products. The Regulatory Exam Response ... SEC, state, and other regulatory requirements applicable to a self-clearing broker - dealer and transfer agent holding retail investor securities. + Attention… more
- CIBC (New York, NY)
- …your interview. **How You'll Succeed** + Perform surveillance of the US registered broker - dealer and OTC derivative/swap trading products with primary focus on ... various regulatory reporting obligations, including: CAT, TRACE, LOPR, Swap Dealer Trade Reporting + Maintain and enhance the documentation of internal policies… 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 ... Audit Manager - Wealth, Commercial, Capital Markets is a senior level management position that supports the Regulatory...Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC… more
- Citigroup (New York, NY)
- …their capital requirements and for the safeguarding of customer funds held by the broker - dealer . The primary entity that is subject to these rules is Citigroup ... Global Markets Inc "CGMI", plus other small broker -dealers. Regulatory works closely with Treasury, Accounting,...Rule 15c3-1 and 15c3-3; + Report financial results to senior management + Assist with the SEC & FINRA… more
- Hold Brothers (New York, NY)
- …reconcile data. + Preparing financials and books and records for the Broker - Dealer according to GAAP and ensuring all regulatory reporting requirements are ... accounting standards. Essential Functions + Partner with CEO and senior management to work on day to day operations... broker - dealer . + Expert knowledge of broker - dealer operations, and regulatory reporting… more
- Mizuho Corporate Bank (New York, NY)
- …the regulatory reporting of Mizuho's US entities including banking entities, broker - dealer , swap-house, leasing and other subsidiaries; + Review and monitor ... Assurance Unit is responsible for enhancing the integrity of the financial regulatory reporting processes, reporting data quality as well as the overall control… more