- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and...worked. New York, NY: $159,400 - $181,900 for Risk Manager Candidates hired to work in other locations will… more
- Coinbase (Madison, WI)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior ... management, system interfaces, and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor will have… more
- SMBC (New York, NY)
- …management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- Vanguard (Scottsdale, AZ)
- …payment systems and card operations . + Demonstrate strong understanding of broker - dealer cash management accounts and related regulations (eg, Reg E, Reg ... We're hiring a Cash Product Risk Senior Manager to lead risk oversight for our Cash...Graduate degree preferred. + Deep expertise in broker - dealer cash management accounts, payment systems, card operations… more
- Scotiabank (Dallas, TX)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... Manager , Compliance Testing **Requisition ID:** 245239 **Salary Range:**...testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
- Deloitte (New York, NY)
- Manager - Capital Markets Operations and Technology Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive ... any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology… more
- Charles Schwab (Lone Tree, CO)
- …external reporting requirements for applicable subsidiary entities, including Schwab's broker - dealer , banks, and international subsidiaries. The SEC Reporting ... regulators and appropriate application of US GAAP. The Senior Manager of Climate Reporting & Data Management is an...of accuracy in every aspect of your work. + Broker - dealer , banking, or asset management industry experience… more
- US Bank (St. Paul, MN)
- …experience or direct loan servicing experience **_Preferred Skills/Experience_** + 5+ years of broker dealer securities operations experience ideally in a ... us** USBI is a major underwriter and secondary market dealer and market maker of high grade and high...DTC settlements and fail management. + Assist the department manager on a variety small and large initiatives and… more
- NatWest Markets (Stamford, CT)
- …of broker dealerfinancial regulationor accounting firm experience auditing a US regulated broker dealer + Must have experience working with SEC rule 15c3-1 ... Regulatory Reporting Manager , VP LocationStamford,United States Job typePermanent |Contract typeFull...may be assigned as necessary to ensure the proper operations of the department and the business._ Be a… more
- Deloitte (New York, NY)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Our Enterprise Operations & Risk offering enables clients to achieve...with and add value to our clients. As a Manager , you will have opportunities to: + Lead project… more
- NatWest Markets (Stamford, CT)
- … role + Experience in financial markets or investment banking is required; Broker - Dealer experience is a strong plus + Demonstrated experience in regulatory ... Audit Manager LocationStamford,United States Job typePermanent |Contract typeFull Time...may be assigned as necessary to ensure the proper operations of the department and the business._ As an… more
- TD Bank (Melville, NY)
- …to travel 50% of time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... role. **Line of Business:** TD Wealth **Job Description:** The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected,… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... Job Title: Wealth Project Manager Business Unit: Brokers International Financial Services Location:...Mark Williams, BI is making significant investments in talent, operations , sales and marketing capabilities, and digital platforms in… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls… more
- First National Bank of Omaha (Omaha, NE)
- …metrics, SLAs, or business case development **_This position will support our broker - dealer and therefore will be subject to certain supervisory requirements. ... fits into our organization's success.** **Summary of the Job:** The Technology Partnership Manager is key to ensuring execution of our hybrid IT delivery model,… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... The Business Development Consultant Manager - Team Lead leads a team of...results. + Partner with senior leaders, product, sales, and operations teams to coordinate implementation efforts and resolve escalated… more
- Charles Schwab (Westlake, TX)
- …**Education & Experience:** Bachelor's degree in Finance/Economics; 5+ years in settlement operations (including derivatives) within broker / dealer or banking ... This role is expected to be in the office 4 days a week. As ** Manager of Treasury Settlement Services** (TSS), you'll play a vital role in ensuring the accuracy… more
- Foresters Financial Services (Cleveland, OH)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more