- City National Bank (Charlotte, NC)
- …Risk Manager (CRCM). * For Wealth Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment ... more
- TD Bank (New York, NY)
- …of related experience, with 3 or more years of experience with a registered US broker dealer or regulator, Branch Inspections testing experience is a plus. + ... more
- Charles Schwab (Westlake, TX)
- …needs. **What you have** + 3 - 5+ years of financial services -related audit experience with growing responsibility. Broker Dealer /Asset Management ... more
- City National Bank (Newark, DE)
- …and partner firm contact information including the processing of all changes partner's broker dealer and/or RIA changes. *Must-Have** * Bachelor's Degree or ... more
- Truist (Atlanta, GA)
- …knowledge, ability and expertise in compliance and a broad understanding of financial services 5. Demonstrated experience with regulatory agencies, requirements, ... more
- City National Bank (Raleigh, NC)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... more
- Citigroup (New York, NY)
- …role in helping the business navigate regulatory landscape for a US broker dealer entity, advice on platform and product structures. **Responsibilities:** ... more
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... more
- Ascensus (Philadelphia, PA)
- …tasked with identifying, developing, and maintaining selling relationships in the broker - dealer community within their assigned territory. Drives revenue growth ... more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... more
- BlackRock (Sausalito, CA)
- …industry's leading wealth managers, investment consultants, private banks, and large broker / dealer teams to serve high-net-worth families, single-family offices, ... more
- Guardian Life (Columbus, OH)
- …leading Money Managers (Blackrock, Fidelity, etc.). + Thorough knowledge of Broker / Dealer products including; Advisory platforms, Mutual Funds, Variable ... more
- TEKsystems (Scottsdale, AZ)
- …one of the largest independent wealth management firms, and they have acquired 6 other broker - dealer firms within the last 5 years. They are going through a 3-4 ... more
- ManpowerGroup (Midland, TX)
- Our client, a leader in the financial services industry, is seeking an Audit Compliance Officer to join their team. The ideal candidate will have strong ... more
- Comerica (Farmington Hills, MI)
- …the technical operations of the Comerica Securities business unit. This unit has our broker dealer , which includes the Investment Banking and Debt & Equity ... more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …coordinate the conversion of Independent Registered Investment Advisor (RIA) firms, Independent Broker / Dealer firms, and investment advisers to the RCS custody ... more