- Vanguard (Scottsdale, AZ)
- …and inspires a high-performing team of hybrid sales professionals within Vanguard's dynamic Broker Dealer channel, fueling growth and innovation for a key, ... rapidly evolving broker - dealer partner. This team thrives on building meaningful advisor relationships through strategic, insight-driven engagement-strengthening… more
- Charles Schwab (Lone Tree, CO)
- …and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior...draft audit observations for review by the Internal Audit Manager / Senior Manager (and above levels)… more
- Citigroup (Tampa, FL)
- The current opening is for a candidate to join the CRO team of Citi's US Broker Dealer legal entity. The objective of the role is to support the CRO across ... various aspects in managing the US Broker Dealer and its related activities as...appropriate. + Enhance controls and assessments captured in the Manager 's Control Assessment + Candidate will need to work… 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 ... also provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: + Support accounting department in… 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...Manager , you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- Charles Schwab (Westlake, TX)
- …Our Compliance Reporting, Communications and Policy (CRCP) team is looking for a Senior Manager for the Compliance reporting and governance (CORE) team, ... has evolved to include multiple regulated entities, including its broker - dealer , investment advisors, bank and trust companies,...Sr. Manager People Leader- Compliance Reporting. The Senior Manager will deliver clear, concise, and… more
- Charles Schwab (Westlake, TX)
- …regulatory and industry environment. As the Retail Supervision & Risk Management (RSRM) Policy Senior Manager , you will play a pivotal role in shaping and ... Advisers (RIAs), preferably in retail financial services. + Significant experience with broker - dealer and advisory rules and regulations. + In-depth knowledge of… 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 (Lone Tree, CO)
- …Check, ACH, Zelle, Visa Debit Card, and BillPay transactions for both the Bank and Broker Dealer products that Schwab offers, as well as other types of suspected ... and efficient. This role is an individual contributor Sr. Manager that is focused on CFIAS roles and responsibilities....**What you are good at** : As a Sr. Manager , you will serve in both strategic and operational… more
- TD Bank (New York, NY)
- …training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... dedicated to setting new industry standards. **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... exercise. **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures… more
- BMO Financial Group (New York, NY)
- …Fixed Income 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 ... knowledge of multiple FICC market activities preferred including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more
- Umpqua Bank (Denver, CO)
- …+ Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for assigned job function as applied to designated ... Senior Wealth Advisor Wealth Management Portland, Oregon Boise,...advisor, certified financial planner, investment advisor Representative, or wealth manager . + Strong marketing and business development skills, keeping… 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
- Robert Half Finance & Accounting (Parsippany, NJ)
- Description National broker / dealer , wealth management company with operations in NYC/Parsippany seeks a Technical Accounting Manager . This role will get ... passed, some public accounting would be very helpful. Requirements National broker / dealer , wealth management company with operations in NYC/Parsippany seeks… more
- City National Bank (Charlotte, NC)
- …and Bank Secrecy Act/Office of Foreign Assets Control regulations * Prior broker / dealer experience preferred * Experience using Microsoft Word, Excel and ... *FINANCIAL CRIMES ANALYST SENIOR I* WHAT IS THE OPPORTUNITY? Under the...THE OPPORTUNITY? Under the direction of the BSA Risk Manager , this colleague is responsible for carrying out regulatory/compliance… more
- PNC (Birmingham, AL)
- …as our incentives paid to sales staff make up the largest expense for the broker - dealer . - Interact with members of the business segment executive team as well ... an opportunity to contribute to the company's success. As a Finance Specialist Senior within PNC's Retail Banking Finance organization, you will be based in… more
- Arena Investors LP (Jacksonville, FL)
- …with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker - dealer requirements; . Monitoring of Client guidelines and restrictions; . Review ... policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); . Conflicts… more
- CIBC (New York, NY)
- …registered investment advisor, + OCC regulated trust company, + SEC registered/FINRA member Broker Dealer , + FDIC insured depository institution regulated by the ... Federal Reserve offering both consumer and commercial loans. + CFTC registered swap dealer and SEC registered security-based swap dealer **How You'll Succeed** +… more
- World Insurance Associates, LLC. (Ramsey, NJ)
- …to our management team and advisors. If you are a strong accountant with broker - dealer experience looking to work for a fast-growing, dynamic company with a ... add a vibrant accounting professional with a background in broker -dealers to our roster. The candidate should be a...the skills and knowledge to succeed and assume more senior level positions as they progress at our firm.… more