- Federal Reserve System (Dallas, TX)
- …the strategy, risk management and controls, and financial performance of the broker / dealer and advisory services business line . You will also be ... for overseeing regulatory compliance with the supervised firm's core business lines, with focus on broker / dealer...firm's core business lines, with focus on broker / dealer and advisory services activities. You will… more
- US Bank (Irving, TX)
- … line of business - Considerable understanding of the business line 's operations, products/services, systems, and associated risks/controls - Thorough ... excel at-all from Day One. **Job Description** -Partners with their assigned Line of Business , other Risk/Compliance/Audit (RCA) professionals, and RCA Managers… more
- US Bank (Irving, TX)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...and credible challenge to support the development of effective business line control environments subject to compliance… more
- Charles Schwab (Westlake, TX)
- …knowledge of finance and knowledge of liquidity risk management at a bank and broker - dealer . + Able to display expert level knowledge of prudential regulatory ... regulatory ratios and develop associated tools to help our business partners in analyzing the liquidity impacts of ...(NSFR) + Able to display expert level knowledge of broker / dealer liquidity and collateral requirements.… more
- TIAA (Frisco, TX)
- …+ Review written correspondence and electronic communications to/from associated persons of broker - dealer . + Proactively engage business partners across the ... issues. + Develop and maintain strong working relationships within the team and the business line stakeholders. **Qualifications** + 3 Years Required; 5 Years… more
- Charles Schwab (Westlake, TX)
- …tools to assist our business partners in analyzing the liquidity impacts of business decisions. We work with our second line partners to assist in the ... resolution and leadership skills; + Ability to translate complex business problems into discrete quantifiable components; + Knowledge of...of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel;… more
- Charles Schwab (Westlake, TX)
- …work experience in a financial organization; + Knowledge of finance and accounting. Broker - dealer experience is a plus; + Advanced Excel Skills; + Experience ... the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and manage regulatory ratios like the...public disclosures, and develop associated tools to assist our business partners in analyzing the liquidity impacts of … more
- Charles Schwab (Westlake, TX)
- …entities, and require facility with multiple compliance subject matter disciplines, including broker / dealer , investment adviser, banking, and others. As with all ... demonstrate the ability to build strong working relationships with business , internal audit, legal and second line ...with business , internal audit, legal and second line partners. They will recognize the true enterprise-wide nature… more