- Fidelity TalentSource LLC (Boston, MA)
- …Financial and Fidelity Brokerage Services, as well as for correspondent client broker - dealer firms. \u00A0\u00A0The Director is responsible for understanding the ... committed to ensuring the accuracy of the firm s Regulatory Reporting platforms, within the vibrant Fidelity Capital Markets...understanding of trade and position reporting requirements of a broker / dealer including but not limited to CAT,… more
- US Tech Solutions, Inc. (New York, NY)
- …Desirable but not required - product inductions and training will be provided. Dealer -board / Turret technologies (IPC Unigy, Broker lines, hoot bridges). ... are looking to kickstart your career in Fin Tech regulatory industry and you are a highly motivated and...escalation. Create reports for Trading Voice Recording Operations and Senior Management teams. Compliance and Litigation Team support with… more
- Fidelity TalentSource LLC (Chicago, IL)
- …complex planning and sophisticated product offeringsA sound understanding of the Broker / Dealer and RIA marketplaceBachelor s Degree required The Purpose\u00A0of ... Your RoleThis is a senior level position responsible for effectively implementing wealth management,...is not limited to a criminal, civil litigations and regulatory review, employment, education, and credit review (role dependent).… more
- 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
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will ... be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO")...professionals). The BD CCO will interact with and advise senior management of the CBD LOBs and ensure effective… more
- Federal Reserve System (Dallas, TX)
- …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + ... and other agency officials. + Advanced abilities to apply and explain complex regulatory concepts relating to broker dealer /advisory services activities. +… 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
- Charles Schwab (Westlake, TX)
- …procedures, and systems designed to achieve and/or monitor compliance with applicable regulatory requirements. The Senior Manager is expected to make ... CRCP and CAMS) + General understanding of financial holding company, bank, broker - dealer , and investment advisory businesses, as well as testing… 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
- Comerica (Frisco, TX)
- …FOCUS or OBS report submissions. * Maintain the general ledger for the broker dealer , including recording entries, performing a monthly close process and ... reporting and accounting for Comerica Securities, a FINRA regulated broker - dealer and a subsidiary of Comerica, Inc....Ensure maintainance of proper financial records for audits and regulatory exams in adhearance to regulatory record… 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
- Atria Wealth Solutions (Houston, TX)
- …firm's regulatory obligations by providing oversight of the day-to-day Broker / Dealer operations to identify and resolve compliance deficiencies, thereby ... institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and… 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
- Bloomberg (New York, NY)
- …degree + A minimum of 7 years compliance experience with a regulator or broker dealer + Demonstrated ability to analyze data, produce metrics, and present ... Senior Compliance Officer - Bloomberg Tradebook - Legal...with regulators. Bloomberg Tradebook LLC is a registered US broker - dealer that focuses on providing sophisticated electronic… 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
