- JPMorgan Chase (Los Angeles, CA)
- Join the Asset Managers & Broker Dealers Payments... Manager within the Financial Institutions Group - Asset Managers & Broker Dealers ... planning and demonstrated execution. + Comprehension of customer's industries ( broker dealers , market makers, exchanges/clearinghouse), business needs and… more
- Charles Schwab (Westlake, TX)
- …(vi) middle and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer / Asset Management enterprise team, the ... 3 - 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer / Asset Management experience specific to internal audit… more
- Charles Schwab (Westlake, TX)
- …to improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a ... and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior...draft audit observations for review by the Internal Audit Manager /Senior Manager (and above levels) and subsequent… more
- JPMorgan Chase (Jersey City, NJ)
- …of applicable laws and regulatory requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + ... We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team. This is your opportunity to play a crucial role in enhancing… more
- Marex (New York, NY)
- …some of the largest commodity producers, consumers and traders, banks, hedge funds and asset managers . With more than 35 offices around the globe, and over ... 2,300 dedicated people enabling access to exchanges and technology-powered services. For more information visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding process for… more
- JPMorgan Chase (Jersey City, NJ)
- …to drive process enhancements. The Securities Services business supports institutional investors, alternative asset managers , broker dealers , and equity ... that values innovation, strategic thinking, and continuous improvement. As a Control Manager in the Securities Services Operations Control Management team, you will… more
- Santander US (Miami, FL)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... industry. We believe that our employees are our greatest asset . Our focus is on fostering an enriching journey...risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg.… more
- MUFG (Tempe, AZ)
- …view of the financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk ... TPRM support partner for Subject Matter Experts (SMEs), Business Unit Risk Managers (BURMs), and BU Management. + Support Strategic Planning execution for First… more
- JPMorgan Chase (New York, NY)
- …transactions/requests. Our team works with a client base of leading asset managers , banks, broker dealers , hedge funds, insurance companies, specialty ... and small business banking, commercial banking, financial transaction processing and asset management. We offer a competitive total rewards package including base… more
- JPMorgan Chase (Fort Worth, TX)
- …significant opportunities for JP Morgan Asset Management. As a leading global asset manager , we oversee nearly $200 Billion in alternative assets and manage ... over $1.7 Trillion in assets for wealth managers worldwide. Our deep experience and scale enables JP...with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels.… more
- Manulife (Tempe, AZ)
- …Plans, Separately Managed Accounts, and Private asset sales throughout the broker - dealer community. The Inside Sales Manager leads through establishing ... **The Opportunity:** The Inside Sales Manager leads a group of Internal Wholesalers as...the team and works in partnership with National Sales Manager to develop recognition standards for the team +… more
- Vanguard (Minneapolis, MN)
- …funds (ETFs) and mutual funds, to Vanguard's financial advisor clients. FAS serves broker - dealers , asset managers , bank trust departments, registered ... sales skills and in-depth product knowledge of fixed income strategies, and other asset classes as you navigate the leadership and key decision-making processes of… more
- Vanguard (Malvern, PA)
- …of Brokerage Trade Operations is responsible for leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role ... client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA, OCC) and overseeing numerous… more
- Bloomberg (New York, NY)
- …consists of physicists and mathematicians who built their careers with major asset managers , hedge funds and broker dealers across Equities, Fixed Income ... support tools and state-of-the-art quantitative models we build help traders, portfolio managers , and CIOs to make important decisions across the buy-side and… more
- T. Rowe Price (Owings Mills, MD)
- …of mutual funds, exchange traded funds, private placement agent activities, dealer / manager of business development company, and introducing broker / dealer ... thrive in an evolving world. As a premier global asset management organization with more than 85 years of...of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong… more
- PNC (Pittsburgh, PA)
- …analytics and develops solutions. Interacts with internal/external service partners, including broker dealers and/or analytics providers, and leverages their ... opportunity to contribute to the company's success. As a Senior Associate in Asset & Liability Management (ALM) Investments - Portfolio Management, you will be based… more
- JPMorgan Chase (New York, NY)
- …portfolio managers , investment specialists, issuers, rating agencies, and broker - dealers **Required qualifications, capabilities and skills** + 5+ years ... Income Currency and Commodities team (GFICC) at JP Morgan Asset Management is one of the world's deepest and...one of the world's deepest and best-resourced fixed income managers , with expertise across all major fixed income sectors,… more
- SMBC (New York, NY)
- …to clients within the following industry sectors: Banks and Broker Dealers , Regulated and Alternative Investment Managers and Funds, Insurance Companies and ... Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects...dialogue with clients and further grow the Banks and Broker Dealers platform within GFIG. Candidates should… more
- JPMorgan Chase (New York, NY)
- …channels to proactively position our real estate solutions through RIA's and our broker - dealer partners. + Develop and implement a comprehensive sales strategy ... Americas is part of JP Morgan Private Markets in Asset Management. With over $67 billion in AUM, the...Real Estate Americas team is one of the largest managers of open-end real estate funds. The team has… more
- JPMorgan Chase (Brooklyn, NY)
- …business, helps service our core client segments: Asset Managers , Asset Owners, Insurance/GSEs, Banks/ Broker Dealers and Hedge Funds and ... capture, settlement; fail management, cash instruction capture, projections, overdrafts, asset servicing instruction capture, dividends, foreign exchange, collateral, derivatives… more