- 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") for three institutional FINRA registered broker -dealers and provide compliance support to… more
- Federal Reserve System (Dallas, TX)
- …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + Strong ... Advanced abilities to apply and explain complex regulatory concepts relating to broker dealer /advisory services activities. + Capacity to pursue multiple… 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 ... efficiency of governance processes, risk management, and internal controls. The Broker - Dealer / Asset Management enterprise team is seeking an Internal Audit… 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 Manager ... will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and… more
- Charles Schwab (Westlake, TX)
- …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
- Charles Schwab (Phoenix, AZ)
- …the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit ... responsible for executing application reviews in business integrated audits. The Broker - Dealer /Asset Management team provides internal audit coverage of the… more
- Citizens (Westwood, MA)
- …Citizens Compliance function, will be responsible for: + Reviewing and approval of all broker dealer marketing and advertising materials submitted for use by the ... and proposed regulations (SEC, FINRA, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm's current business… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… 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
- Moss Adams LLP (Pasadena, CA)
- **Tax Senior Manager - Asset Management, Broker Dealer ** **Description** At Moss Adams, we champion authenticity. For us, that means fostering a culture of ... + CPA or Bar License required Proven industry experience in Asset Management, Broker Dealer + Minimum of 4 years supervising and training experience + Subject… more
- Charles Schwab (Westlake, TX)
- …team as a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though this is an Individual ... years of experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment advisory businesses,… 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 ... **Preferred Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven compliance experience within a financial… more
- Charles Schwab (Westlake, TX)
- …CRCP and CAMS) + General understanding of financial holding company, bank, broker - dealer , and investment advisory businesses, as well as testing ... standards/methodologies + Familiarity with the execution of Second Line of Defense compliance testing including compliance risk management principles + Excellent attention to detail + The ability to work independently, take ownership, be accountable + Strong… more
- Robert Half Finance & Accounting (New York, NY)
- …Services are recruiting for a Financial Analyst Senior Associate role within a global Broker Dealer firm located in downtown Manhattan New York. Our client ... requires 3-6+ years' Financial Analysis, FP& A or Business Performance experience at Financial Institution with strong Excel, Financial Modeling and P& L knowledge. This role is hybrid remote requiring 3 days per week in the downtown Manhattan office. This… more
- T. Rowe Price (Owings Mills, MD)
- …team at T. Rowe Price! Career Returnship/Transition: Intermediary Sales Consultant ( Broker / Dealer , RPS & DCIO) Location: Multiple Locations Including Owings ... Mills, MD, Colorado Springs, CO and San Francisco, CA Role Summary The Intermediary Sales Consultant is a sales and relationship partner with external sales professionals with whom they aid in the development of each respective territory and the management of… more
- T. Rowe Price (Colorado Springs, CO)
- …management solutions to our diverse client base which include Banks, Broker /Dealers, RIA, TAMP's, and Intermediary Platform providers throughout the United States. ... the distribution/sale of Alternative Investments (Alts) through RIAs, Regional Banks, and/or Broker /Dealers. + The role has location flexibility but this role will… more
- Atria Wealth Solutions (San Diego, CA)
- …overall maintenance of client information housed at vendor companies and within the Broker Dealer 's back office system + Assist with various special projects ... to Financial Advisors and business partners. + Candidate should have some Broker Dealer experience. + College degree or comparable experience + Candidate should… more
- Hold Brothers (New York, NY)
- Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage ... reconcile data. + Preparing financials and books and records for the Broker - Dealer according to GAAP and ensuring all regulatory reporting requirements are met.… more
- Atria Wealth Solutions (Greenville, SC)
- …compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures ... + Follows the established guidelines for maintaining client files in accordance with broker - dealer practices and FINRA requirements. + Meets or exceeds the… more
- Atria Wealth Solutions (Greensboro, NC)
- …compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures ... + Follows the established guidelines for maintaining client files in accordance with broker - dealer practices and FINRA requirements. + Meets or exceeds the… more
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