- Charles Schwab (Westlake, TX)
- …Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit Manager . The Broker - Dealer /Asset Management team provides internal audit ... back office operational functions. Reporting to a Director of the Broker - Dealer /Asset Management enterprise team, the Internal Audit Manager will have… more
- Capital One (Mclean, VA)
- Manager , Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with ... highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA)… more
- Charles Schwab (Austin, TX)
- …middle and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- BMO Financial Group (New York, NY)
- … dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have ... help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience,… more
- Bank of America (Charlotte, NC)
- …and other MS Office products. **Desired Qualifications** : + Understanding of US Broker Dealer business, operations , and/or regulatory environment. + ... Broker - Dealer Customer Protection Program Lead Charlotte,...(CACG) Americas (AMRS) region. CACG is a Global Markets Operations team which provides front-to-back oversight of customer protection… more
- Huntington National Bank (Chicago, IL)
- …the 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… more
- PNC (Chicago, IL)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... the field on a regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Are you interested in an opportunity to join a dynamic and… more
- USAA (San Antonio, TX)
- …+ Subject-matter-expert level of business acumen in the areas of annuity business operations , broker dealer sales processes and paperwork, sales suitability, ... in annuity operations support and service, preferably within a broker - dealer or insurance company utilizing third-party annuities distribution. + 2… more
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... L. P. (CFS) Patelco Credit Union is seeking a Manager , Investment Services Program in the Dublin, CA areas....Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between… more
- TD Bank (Portland, ME)
- …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to setting new industry standards. **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support)… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... Manager , US Finance, Regulatory Reporting, Risk Management -...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- Scotiabank (New York, NY)
- …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:** 223397 **Salary Range:**...testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
- PNC (Pittsburgh, PA)
- …sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... contribute to the company's success. As a Business Analytics Manager Senior - Foreign Exchange within PNC's Investment ...working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and… 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...goals. + As requested and approved by the Program Manager | VP Investments and Insurance Group, conduct and/or… more
- Bank of America (Charlotte, NC)
- …Qualifications** + Recent experience in a similar role in a top tier bank / broker - dealer or product development role in a large broker / dealer ... GMO Market Solutions Lead - Sr Operations Team Lead Charlotte, North Carolina **To proceed...business. We are looking for a seasoned GMO Relationship Manager who can help build relationships with our organization's… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- Truist (Charlotte, NC)
- …timely field responses in a coordinated manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... Perform supervisory functions that are routinely associated with those of a retail broker / dealer . Actively engage field associates and serve as a dedicated… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- City National Bank (Dallas, TX)
- …* Working knowledge of risk management and/or internal control techniques of investment operations , broker dealer and wealth management is beneficial. ... regulatory requirements and Bank policies, and the effectiveness of operations of the BSA/AML function. The Senior Manager... operations of the BSA/AML function. The Senior Manager will be responsible for all aspects of the… more
- Raymond James Financial, Inc. (Denver, CO)
- …and any other applicable fraud-related regulatory or industry rules and guidance. + Broker - dealer operations , transaction methods & financial products, and ... The Fraud Monitoring Manager is responsible for leading a high-performing, production-based team focused on fraud surveillance, alert review, case investigation, and… more
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