- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … more
- M&T Bank (Boston, MA)
- …manage the broker - dealer compliance team. Responsible for ensuring the broker dealer operates in compliance with all relevant laws, regulations, and ... and accountability to ensure FINRA compliance in the Institutional Broker Dealer . This position has flexibility on on location **Primary Responsibilities:**… more
- Tradeweb (New York, NY)
- …services firm in the role of a CCO or similar senior role supporting a broker dealer . + Strong understanding of regulatory and self-regulatory agencies rules and ... implementation and oversight of the compliance program established to support the broker - dealer and will monitor and act upon regulatory developments relating to… more
- Robert Half Management Resources (New York, NY)
- …functions. Prior FINOP or related experience very helpful. Must have knowledge of Broker Dealer domain. Responsibilities: * Oversee broker dealer ... industry. As our Audit Director, you will be tasked with conducting broker - dealer audits, developing and implementing audit programs, and managing accounting… more
- T. Rowe Price (Baltimore, MD)
- …firm's distribution initiatives related to the sale of Exchange Traded Funds (ETF) through broker dealer intermediaries. The role will report to the Head of ETF ... ensure effective use of date to target highest value ETF users within Broker Dealer segment. + Maintain in-depth knowledge and profile of assigned ETF clients,… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations and … more
- Robert Half Finance & Accounting (New York, NY)
- …Half Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. Our client requires a CPA ... Head Office, and the control and analytical review of holding company and broker dealer results, and inter-company confirmations + Reconciliation and control of… more
- Jackson National Life Insurance Company (Lansing, MI)
- …+ Conduct general and complex legal research and advise on a variety of topics, including but not limited to federal securities laws, state insurance, and the ... **_If you are an internal associate, please login to Workday and apply through Jobs Hub._** **Job Purpose** The Sr. Attorney, Regulatory Affairs provides advice to internal departments on general and complex legal issues with a focus on regulatory changes… more
- Atria Wealth Solutions (Houston, TX)
- …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
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Job Summary:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including: funding and liquidity risk management, asset liability… more
- Citizens (Johnston, RI)
- …applicable to any and all marketing/advertising materials which involve any affiliated broker dealer /RIA. The individual must possess an expert level knowledge ... of all applicable rules/regulations related to broker dealer /RIA marketing and advertising activities. Most importantly the SEC Marketing Rule. Primary… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of Finance & Operations to oversee the ... to 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 (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
- 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
- JPMorgan Chase (Apple Valley, CA)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities,… more
- PNC (Pittsburgh, PA)
- …performed remotely, at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic ... team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate securities,… 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 ... and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and regulations… 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 ... **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. +… more
- Zions Bancorporation (Salt Lake City, UT)
- …to the non-bank divisions of Zions Bancorporation including but not limited to Broker Dealer , Capital Markets and Public Finance groups. Responsibilities: A Risk ... matter expertise on compliance and risk topics pertinent to the institutional broker dealer , bank dealer and municipal advisor. + Conduct scheduled… more
- Citizens (Tarrytown, NY)
- …regulations applicable to any and all business activities which involve any affiliated broker dealer /RIA or trust business. The individual must possess an expert ... level knowledge of all applicable rules/regulations related to broker dealer /RIA and trust activities. . Primary responsibilities include. + Compliance Program… more