- USAA (Phoenix, AZ)
- …oversight and guidance regarding business products, services, and processes through a compliance framework to ensure they are driven in accordance with regulatory ... the business and key partners, continuously drives a strong culture of compliance and demonstrates integrity and professional judgment in protecting the interests of… more
- Siebert Williams Shank (New York, NY)
- …other regulatory licenses desired * At least 7 years working for a broker - dealer , with at least 5 years of compliance experience * Experience with fixed ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,...to add a knowledgeable, driven, intellectually curious and experienced compliance professional to the team led by the Chief… 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 ... officers to confirm validity of issues; make recommendations to Senior Compliance Testing Manager regarding the appropriate tier rating of identified… more
- Capital One (New York, NY)
- … Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Escalates regulatory concerns and other significant matters to their manager . + Interfaces with regulators and Internal Audit during...+ Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... Senior Manager , US Finance & Regulatory Reporting - Audit...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- Citigroup (New York, NY)
- …country level. This is a role focusing on coordinating the assurance coverage of the Broker Dealer - Citi Global Markets Inc. This role will include producing ... The Senior Audit Manager is a senior level management position responsible...and manage a budget. + Manage coverage of US broker dealer entity (CGMI) by working collaboratively… more
- Atria Wealth Solutions (Greensboro, NC)
- … guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures ... or according to an established schedule determined by your manager . Purpose of the Job The Financial Advisor II...established guidelines for maintaining client files in accordance with broker - dealer practices and FINRA requirements. + Meets… more
- PNC (Pittsburgh, PA)
- …at manager 's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- Charles Schwab (Lone Tree, CO)
- …they are assigned to prepare and review, and this position reports to a Team Manager , BP Audits and SOX Compliance . This is an individual contributor role. This ... Financial Responsibility Rule requirements **What you'll do:** * Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments,… more
- SMBC (Jersey City, NJ)
- …It administers the SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In addition, ... The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the compliance… more
- Broadridge Financial Solutions (New York, NY)
- …get ahead of todays challenges to capitalize on whats next. Bank, Broker - Dealer (BBD) and Broadridge Customer Communications (BRCC) drives business ... transformation for its bank and broker - dealer clients, with communications, technology, data, and...all parts of their business, including trading, proxy and compliance , corporate actions, notifications and election capture, global class… 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. + ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... of intake/close out of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This position requires a working… more
- T. Rowe Price (Owings Mills, MD)
- …and understanding of trading rules and regulations as they pertain to the broker / dealer and RIA space. Strong understanding of direct indexing, UMAs, SMAs, ... make a difference. We are a premier asset manager focused on delivering global investment management excellence and...trading rules and regulations as they pertain to the broker / dealer and RIA space. + MBA and/or… more
- Scotiabank (New York, NY)
- …an inclusive work environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit, risk, compliance , and/or capital ... Manager , US Internal Control and Global Wholesale Operations...Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- KPMG (Washington, DC)
- …and/or risk management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer , Wealth Management Firm, Swap Dealer , ... **Business Title:** Manager , Capital Markets **Requisition Number:** 118216 - 21 **Function:** Advisory **Area of Interest:** **State:** DC **City:** Washington… more
- HSBC (New York, NY)
- …compliance requirements applicable to the businesses + Swap Dealer and/or Broker Dealer compliance control testing experience + Strong interpersonal, ... the planet we all share. _The AVP Risk And Compliance Assurance act as an independent Second Line of...appropriate focus on own self-development. In conjunction with Team Manager , identifies and participates in approved developmental training For… more
- Charles Schwab (Lone Tree, CO)
- …all audited financial statements for applicable subsidiary entities, including Schwab's broker - dealer , bank, and international subsidiaries. The SEC Reporting ... US GAAP, financial reporting principles and SEC regulatory requirements. Relevant bank, broker / dealer , or other financial services experience a plus. + Excellent… more