- 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
- Citizens (Johnston, RI)
- …guidance and feedback related to marketing materials to Marketing and Business Line partners including broker dealer marketing and advertising materials. ... will work closely with Compliance and Legal partners to ensure that the business line is up to date and in compliance with all applicable regulatory… more
- 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")...-dealers and provide compliance support to the Capital Markets line of business , a division within the… 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... dealers and provide compliance support the Capital Markets line of business , a division within the… more
- Scotiabank (New York, NY)
- Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note ... Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions...Risk Management, and AML Compliance. + Informs and advises business line management on an ongoing basis… more
- JPMorgan Chase (New York, NY)
- …draw conclusions with respect to potential liquidity risk implications within the firm's broker - dealer business . You will continuously assess emerging risks ... strong and resilient. You help the firm grow its business in a responsible way by anticipating new and...risk management techniques & systems preferred + Experience in Broker Dealer products such as Prime Brokerage,… more
- US Bank (New York, NY)
- … 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
- Citizens (Johnston, RI)
- …in developing Private Wealth risk and compliance programs for dual-registered Broker - Dealer /Registered Investment Advisor, and RIA serving ultra-high net worth ... clients, 12 CFR 9 Trust and Fiduciary business , including exposure to Alternative Investments and 33 and...+ 10+ years' Risk and Compliance experience with advanced Broker - Dealer , Registered Investment Advisor, 12 CFR 9… more
- Atria Wealth Solutions (Greenville, SC)
- …all other ad hoc reports as requested. + Fully utilizes the broker - dealer CRM and processing system for all business -related activity documentation. + ... compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures… more
- Atria Wealth Solutions (Greensboro, NC)
- …all other ad hoc reports as requested. + Fully utilizes the broker - dealer CRM and processing system for all business -related activity documentation. Other ... compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures… more
- Scotiabank (New York, NY)
- …operations, and risk conversations. + Knowledge of compliance and controls for broker dealer and derivatives/swap businesses. + Understanding of the operational ... in the review of regulatory and audit findings and work with business line management to formulate responses. + Special projects assignments may include but… more
- CIBC (New York, NY)
- …and effectiveness of business controls established to ensure adherence with US broker - dealer and US swap dealer requirements and compliance with federal ... CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/ Broker - Dealer /Swap Dealer Reporting to the… more
- Atria Wealth Solutions (San Diego, CA)
- …of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations. + 3+ years of ... institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and… more
- City National Bank (San Francisco, CA)
- …business functions and provide insight to the practical impacts/implications to the business line . + Execute essential risk program functions, including Risk ... as the business teams' liaison for all business line risk management, compliance activities, legal...deposit products + - Consumer lending products + - Broker Dealer - FINRA Regulations + -… more
- Guardian Life (New York, NY)
- …requirements. Candidates must have a broad knowledge of US broker - dealer and investment advisory compliance, regulated business environments and key ... for the overall compliance framework for PAS as a dually registered broker - dealer and investment adviser. The incumbent will lead the implementation… more
- Mizuho Corporate Bank (New York, NY)
- …Mizuho Bank and a US bank holding company, including subsidiaries such as the broker dealer and derivative trading entities. The candidate will work within ... Mizuho Americas Liquidity Risk Management, a 2nd line function reporting to the US CRO. The candidate...entities (FBO Branch and IDI subsidiary) as well as broker dealer and derivative swap dealer… more
- Bank of America (New York, NY)
- …Monitoring regulatory changes applicable to Global Financial Crimes focusing specifically on broker - dealer impacts + Engaging with the Financial Crimes Analytics ... working directly or through compliance officers for the Front Line Units (FLUs) and Control Functions (CFs) to complete...drive thematic reviews of key risk areas for the broker - dealer and develop/enhance GFC automated detection tools… more
- Bank of America (Charlotte, NC)
- …Monitor regulatory changes applicable to Global Financial Crimes focusing specifically on broker - dealer impacts + Engage with the Financial Crimes Analytics Team ... Act/Anti-Money Laundering laws, rules and regulations driving the front line units (FLUs) to comply with the Global Financial...drive thematic reviews of key risk areas for the broker - dealer and develop/enhance GFC automated detection tools… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis...and securities lending. As part of the first line of defense, the Credit Services Department maintains sound… more
- TD Bank (Mount Laurel, NJ)
- …apply to Wealth Management activities + 5 years of expeirence in broker dealer and RIA environments **Customer Accountabilities:** + Provides expert/specialized ... Accountabilities:** + Actively assists in developing and overseeing implementation of business line policies and procedures + Collaborates with subject… more