- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and...procedures and job aide, ad hoc reports requested within business line + Work with audit or… more
- Citigroup (Jersey City, NJ)
- …objective is to design and implement the AML risk management program for the US broker dealer and consumer wealth business lines, manage a team, utilize ... The Compliance Anti-Money Laundering (AML) Risk Management Director for US Retail Brokerage/ Broker - Dealer and Consumer Wealth is a senior management level… 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 execution of compliance testing engagements utilizing a risk-based approach in line with department standards to ensure the Bank's compliance with applicable… 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
- 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
- JPMorgan Chase (Jersey City, NJ)
- …and expertise on regulatory compliance matters. **Job Responsibilities** + Partner with the line of business , Risk, Audit, Legal and Control partners to monitor, ... regulatory support to the JP Morgan Wealth Management Compliance broker - dealer (JP Morgan Securities, LLC) offering +...areas of concern + Provide Compliance advice to the line of business on the implementation of… more
- Capital One (New York, NY)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... dealers and provide compliance support to the Capital Markets line of business , a division within the...framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... non-U.S. entities). The role requires leading workshops with 1st line of defense ("1LOD") and Compliance and other 2nd...focus of this role will be on the US broker dealer and US swap dealer… more
- Citigroup (New York, NY)
- …capital, and balance sheet for US Bank Chain Entities, US and Consolidated Broker Dealer Entities, and Hold Co. Entities. They lead the asset/liability ... establishing and executing governance routines, overseeing the coordination of CBNA and Broker Dealer ALCOs, overseeing the Regulation W responsibilities of the… 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 focus ... Laurel, New Jersey, United States of America **Hours:** 40 ** Line of Business :** TD Wealth **Pay Detail:**...and suitability for and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as… more
- Truist (Atlanta, GA)
- …the weekly Customer Reserve calculation under SEC Rule 15c3-3 for the securities trading business . 2. Calculate broker dealer regulatory capital under SEC ... Prepare SEC and Fed disclosures for the loan trading line of business . 4. Prepare the quarterly...related training experience. 2. Two or more years of broker dealer regulatory reporting experience or related… more
- City National Bank (San Francisco, CA)
- …Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible ... *SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS* WHAT IS...maintain, implement, manage and enhance the capital markets first line risk program for four separate line … more
- Scotiabank (New York, NY)
- …international banking organization with institutional trading & sales, investment banking, institutional broker dealer or FCM/swap dealer businesses. + ... is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and...risk assessments processes. + Familiarity with US bank and broker dealer laws, rules, and regulations applicable… more
- MUFG (New York, NY)
- …Sales and Trading, Interest Rate Derivatives, equities, credit, securitized products) and Swap Dealer / Broker Dealer regulation are highly desirable, ... details. **Position Summary:** The Operational Risk Analyst supports the Business Unit Risk Management (BURM) team in the "first... Unit Risk Management (BURM) team in the "first line of defense," responsible for supporting and coordinating the… more
- Scotiabank (New York, NY)
- …on assignments. + Work with auditors within the audit department to perform end-to-end business line reviews + Maintain knowledge of the business , regulatory ... is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and...Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- Truist (Winston Salem, NC)
- …the day-to-day supervisory reviews that are performed. + Supervisory responsibility for Broker Dealer trading activity. + Provide oversight and support for ... that are routinely associated with those of a retail broker / dealer to engage with advisors in the...time. + Engage in risk management activities with the line of business , proactively identifying existing and… more
- TD Bank (New York, NY)
- …other products, primarily fixed income + Advising on swap dealer , security-based swap dealer and broker dealer requirements + Research and provide advice ... Location** : New York, New York, United States of America **Hours:** 40 ** Line of Business :** Legal **Pay Detail:** $180,000 - $205,000 USD TD is committed to… more
- US Bank (Minneapolis, MN)
- …Capital Markets group within US Bank's Wealth, Corporate, Commercial and Institutional Banking business line . This paralegal will assist in supporting the Credit ... and acts through US Bancorp Investments, Inc., a registered broker - dealer . The candidate must ensure that the...risk, and other operational perspectives by (a) liaising with business lines and compliance, (b) interacting with outside legal… more
- Vanguard (Malvern, PA)
- …The ideal candidate will have expertise and broad knowledge of Financial Markets, Broker - Dealer and Banking regulations, Nacha operating rules and a deep ... In support of our innovative, multi-faceted and highly regulated business lines, Vanguard's Compliance Department encounters a wide range...understanding of Broker - Dealer products and processes. This role: +… more
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, the… more