- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in US ... issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Charles Schwab (Lone Tree, CO)
- …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
- 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 ... activity. + Review applicable regulatory rules and interpretations to maintain firm compliance and participate in the research and implementation of new and/or… 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
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager , Compliance Testing **Requisition ID:** 223397...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap … more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- Atria Wealth Solutions (Dublin, CA)
- …of all required Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between Patelco Financial Solutions and other ... L. P. (CFS) Patelco Credit Union is seeking a Manager , Investment Services Program in the Dublin, CA areas....training content for branch teams and vet content with Compliance and our broker - dealer partner,… more
- Aegon Asset Management (Cedar Rapids, IA)
- …risk by reviewing and enforcing company policies. This candidate will support TFA's compliance program covering both the broker - dealer and investment ... have experience creating and performing testing related to the broker - dealer 's annual 3120 testing/reporting and to the...in implementing new and/or enhanced practices. + Assist the Compliance Manager in reviewing and updating the… more
- Arena Investors LP (Jacksonville, FL)
- …at a SEC-registered investment adviser (primarily private credit exposure); . Experience with broker - dealer compliance (ideally Series 7 or Series 14 ... compliance policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); .… more
- Bank of America (Charlotte, NC)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... Enterprise Financial Risk Capital Risk Manager Charlotte, North Carolina;New York, New York **Job...capital management activities, including capital planning and forecasting for broker dealer and swap dealer … more
- Charles Schwab (Westlake, TX)
- …and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...build robust analytics to support collateral pledging activities + Broker dealer subject matter expert for items… more
- Capital One (Mclean, VA)
- …highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) ... Manager , Accounting Does the idea of working with professional,...of Accounting experience + At least 3 years of broker dealer experience + At least 2 years… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …procedures of the financial services industry. + Bank holding company and retail broker dealer clearing firm operations. **Skill in:** + Experience drafting ... and obligations of the Raymond James business model + Supports compliance reporting processes, including exception reporting, and approves corrective actions +… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...shaping our control environment. As a Legal Entity Control Manager , you'll have the opportunity to collaborate with senior… more
- Aegon Asset Management (Cedar Rapids, IA)
- … Officer (CCO). The candidate will support the CCO in managing the compliance program covering TFA's retail broker - dealer and investment advisory ... securities compliance experience, preferably in a retail broker - dealer and investment advisory environment + At...53 + Insurance license + Experience with FIS(R) Supervision Compliance Manager + Experience with National Financial… 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. + ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… 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 ... of intake/close out of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This position requires a working… more
- BMO Financial Group (New York, NY)
- … Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work closely ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- Capital One (New York, NY)
- …Trade Surveillance for Capital One's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker -Dealers. You will maintain the Surveillance ... decision-making. **Responsibilities:** + Oversight of trade surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker -Dealers… more
- Charles Schwab (Westlake, TX)
- …detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . * Regulatory financial reporting, and experience in treasury ... platforms, and leveraging automation tools to improve efficiency, accuracy, reporting, and compliance . The Sr. Manager will maintain and enhance key… more
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