- Huntington National Bank (Columbus, OH)
- … Dealer Operations Analyst II is responsible for supporting institutional broker dealer operations including collateral management , asset movement, trade ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more
- Citigroup (Jersey City, NJ)
- …to design and implement the AML risk management program for the US broker dealer and consumer wealth business lines, manage a team, utilize in-depth ... Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/ Broker - Dealer and Consumer Wealth is a senior management level position… more
- Citigroup (New York, NY)
- …Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer funding, capital and liquidity management and oversight ... requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global Broker -… more
- SMBC (New York, NY)
- …as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented ... various committees such as the New Product, Underwriting, Risk Management , Compliance, IT Risk and Training committees. The Compliance...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- KPMG (Washington, DC)
- …compliance and/or risk management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer , Wealth Management ... Dealer , Securities-based Swap Dealer , Capital Markets or Asset/Wealth Management Division of a Large Diversified Bank), regulatory agency, or consulting firm… 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 ... You will have strong analytical, process management and communication skills with a proven ability...oversight of the compliance program established to support the broker - dealer and will monitor and act upon… more
- JPMorgan Chase (Columbus, OH)
- …+ Manage a territory of advisors across multiple channels, including Independent Broker Dealer , Wealth Management , and Registered Investment Advisor. ... JPMorgan Asset Management is a global leader in investment management , dedicated to delivering exceptional client service and innovative investment solutions.… more
- NatWest Markets (Stamford, CT)
- Broker Dealer Testing, VP Stamford,United States Permanent Full Time \#R-00245532 Share: (https://jobs.natwestgroup.com/jobs/15202378- broker - dealer ... be assigned as necessary to ensure the proper operations of the department and the business._ ** Broker Dealer Testing VP** This role will report to the Head of … more
- Siebert Williams Shank (New York, NY)
- Siebert Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable, driven, intellectually curious and ... In addition, the selected candidates will assist with risk management , provide advice on and oversight of SWS's compliance...sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry… 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 ... a premier asset manager focused on delivering global investment management excellence and retirement services that investors can rely...of date to target highest value ETF users within Broker Dealer segment. + Maintain in-depth knowledge… more
- City National Bank (Los Angeles, CA)
- …matters. The Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. *The Responsibilities* * Assist the ... Wealth Management Broker / Dealer Entities' CCO in conducting one or more of the following responsibilities. * Analyze marketing material for compliance with… more
- M&T Bank (Clanton, AL)
- …institutions. Assist in oversight of Wealth, Institutional Client Services and Institutional Broker dealer testing for state, federal, domestic and possibly ... and/or provide early escalation of anticipated delays to senior management . + Draft and communicate substantive testing findings and...weaknesses to all levels of compliance and business unit management under the direction of a Manager. + Lead… more
- JPMorgan Chase (Columbus, OH)
- …invested, and investing with less emotion. Exciting opportunity to join the Independent Broker Dealer team as an Internal Client Advisor. **Job Summary:** As ... JPMorgan Asset Management (JPMAM) helps institutional and individual clients from...Our wide array of financial strategies-equity, fixed income, cash management , currency, asset allocation, and alternative asset classes-allows investors… more
- Equitable (Charlotte, NC)
- Product Manager, Broker Dealer ( 240000LM ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-Remote **Organization** : ... an organization that will help unlock your potential? Sitting within the Wealth Management area of Equitable, Equitable Advisors is committed to making a difference… more
- TD Bank (Burlington, VT)
- …TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a ... and suitability for and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as...to communicate effectively with all levels of staff and management * Ability to prioritize and multi-task with a… more
- Atria Wealth Solutions (Greensboro, NC)
- …+ Attends and completes all required training and informational meetings scheduled by management and broker - dealer . + Completes and submits weekly activity ... and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established...reports promptly to management as well as all other ad hoc reports… more
- Atria Wealth Solutions (Greenville, SC)
- …+ Attends and completes all required training and informational meetings scheduled by management and broker - dealer . + Completes and submits weekly activity ... and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established...reports promptly to management as well as all other ad hoc reports… more
- JPMorgan Chase (Jersey City, NJ)
- …Provide compliance advice, guidance, and regulatory support to the JP Morgan Wealth Management Compliance broker - dealer (JP Morgan Securities, LLC) offering ... your expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of...Retail Non-Deposit Investment Products (RNDIP) program for the consumer bank/ broker - dealer to facilitate a consistent and cohesive… more
- NatWest Markets (Stamford, CT)
- …compliance including knowledge of CFTC, DTCC,NFA regulation. + Good knowledge of broker - dealer and securities processes and business. + Excellent communication ... Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: (https://jobs.natwestgroup.com/jobs/15076523-senior-monitoring-and-testing-compliance-assurance-officer-swap-… more
- Charles Schwab (Westlake, TX)
- …detailed knowledge of finance and/or risk management . + Deep knowledge of broker dealer and bank risk management capabilities + Deep knowledge ... will value your contributions and encourage your development. The Finance Risk Management (FRM) function is an in-business risk function within Finance, which… more