- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team within the Global Treasury… more
- NatWest Markets (Stamford, CT)
- Broker Dealer Advisory - VP Stamford,United States Permanent Full Time \#R-00246157 Our people work differently depending on their jobs and needs. From hybrid ... and Compliance team andcross-functionally. The ideal candidate will have experience with broker - dealer and swap dealer rules and regulations and providing… more
- Charles Schwab (Lone Tree, CO)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- SMBC (New York, NY)
- …Critical Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in ... well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred. BA/BS required. Series 7,… more
- Citigroup (Tampa, FL)
- The current opening is for a candidate to join the CRO team of Citi's US Broker Dealer legal entity. The objective of the role is to support the CRO across ... various aspects in managing the US Broker Dealer and its related activities as a CFTC Swap Dealer and FCM. This role entails managing the risk of this legal… more
- KeyBank (Lea County, NM)
- …of experience in financial services, with direct exposure to brokerage and swap dealer operations. + Strong understanding of introducing broker - dealer models ... supports both the back-office operations of a registered swap dealer and the middle office operations of an introducing... and the middle office operations of an introducing broker . The consultant will drive process improvements, ensure regulatory… more
- Principal Financial Group (Des Moines, IA)
- …to join our legal team to lead regulatory examinations, and to assist our retail broker - dealer with its legal needs. This attorney will partner with the business ... You will also provide day-to-day support to Principal's dually-registered retail broker - dealer and investment adviser, Principal Securities. In this role,… more
- M&T Bank (Baltimore, MD)
- …of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk Framework. Oversee the ... team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/ Participations. **Primary… more
- Wells Fargo (West Des Moines, IA)
- …risk. + Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance. **Job Expectations:** + Ability to travel up to 10% ... of the time + This position offers a hybrid work schedule + This position is not eligible for Visa sponsorship + Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide… more
- Huntington National Bank (Columbus, OH)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... preparing journal entries, reconciling GL accounts, summarizing and analyzing daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison to both internal and external audits. This position will also… more
- JPMorgan Chase (Washington, DC)
- …in the Maryland and District of Columbia regions, specifically within the Independent Broker Dealer (IBD) channel. Your role will involve promoting and expanding ... JPMorgan's market share across various platforms such as mutual funds, ETFs, separately managed accounts, model portfolios, direct indexing, and 401K platforms. You will be working closely with top IBD partner firms like LPL, Raymond James, Ameriprise, Edward… more
- JPMorgan Chase (Columbus, OH)
- …JPMorgan Asset Management (JPMAM) helps institutional and individual clients from around the globe meet their financial goals by providing industry-leading investment ... solutions. Our wide array of financial strategies-equity, fixed income, cash management, currency, asset allocation, and alternative asset classes-allows investors to find strategies to help navigate dynamic markets. Our renowned value-added tools assist… more
- NatWest Markets (Stamford, CT)
- …including knowledge of CFTC, DTCC, NFA regulation. + Some knowledge of broker - dealer and securities processes and business. + Excellent communication skills ... Swap Dealer Testing Associate Stamford,United States Permanent Full Time...carried out in the United States. **Job description** **Swap Dealer Testing Associate** **2LOD** This roleis responsible forassessing compliance… more
- NatWest Markets (Stamford, CT)
- …compliance including knowledge of CFTC, DTCC, NFA regulation. + Knowledge of broker - dealer and securities processes and business. + Excellent communication ... Swap Dealer Testing VP Stamford,United States Permanent Full Time...proper operations of the department and the business._ **Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring… more
- Oriental Bank (San Juan, PR)
- …years of experience as a Broker Assistant or Administrative Assistant in a Broker Dealer required. Experience in banking or in the insurance industry and/or ... The Associate, Oriental Insurance ( Broker Support) receive, process, and analyze the life insurance policies and annuities applications from Oriental Bank dual… more
- Deloitte (Stamford, CT)
- …account compliance for over 100K professionals and the daily import of 20+ broker dealer files into Deloitte's Independence monitoring system called the Tracking ... & Trading System. The ideal candidate will be a problem solver, have good working knowledge of various financial instruments/markets, have a background or interest in compliance and will strive to provide exceptional quality and superior customer service.… more
- Marex (New York, NY)
- …Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US ... Broker Dealer related regulatory inquiries. + Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for… more
- Manulife (Boston, MA)
- …experience. + The candidate must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) ... and broker dealer operations, as well as an understanding of investments, securities markets and securities distribution methods as evidenced by educational… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. +… more
- Atria Wealth Solutions (Vancouver, WA)
- …with non-deposit investment and insurance products as registered and licensed by a third-party broker dealer under agreement with Columbia CU. + Using only the ... broker dealer 's approved product list, provide investment advice regarding securities and manage accounts or portfolios of member-investors with a fiduciary duty… more
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