- M&T Bank (Boston, MA)
- …to senior management on compliance matters. **Supervisory/Managerial Responsibilities:** Broker Dealer Compliance team. **Education and Experience ... years' financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined… 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 ... experience. The role reports directly into the Senior Accounting Manager for the US, and will cover US GAAP/IFRS...the control and analytical review of holding company and broker dealer results, and inter-company confirmations +… 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
- T. Rowe Price (Owings Mills, MD)
- …direction and acts as a subject matter expert ("SME") for the Director, North America Compliance , Broker Dealer in monitoring and enhancing compliance ... compliance program as it relates to Brokerage. The Manager will also lead and support projects to improve...Brokerage. + Provides support to the Director, North America Compliance , Broker Dealer and Chief… 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
- 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
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager , Compliance Testing **Requisition ID:** 206799...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, investment management… more
- Scotiabank (New York, NY)
- …international banking organization with institutional trading & sales, investment banking, institutional broker dealer or FCM/swap dealer businesses. + ... Senior Manager , US Compliance Risk Assessment **Requisition...risk assessments processes. + Familiarity with US bank and broker dealer laws, rules, and regulations applicable… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of compliance monitoring, testing, audit practices and applicable US broker - dealer and registered investment adviser regulatory requirements and controls to ... * Compliance monitoring, testing, audit practices. * Applicable US broker - dealer and registered investment adviser regulatory requirements and controls. *… 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 ... Manager , US Finance & Regulatory Reporting - Audit...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… 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
- City National Bank (Los Angeles, CA)
- **Mortgage Compliance Manager ** **WHAT IS THE OPPORTUNITY?** The Head of Mortgage Banking Compliance will act in a compliance advisory role supporting ... skills and be accustomed to working with deadlines. + Certified Regulatory Compliance Manager (CRCM), Certified Internal Auditor (CIA), and/or Certified… more
- Scotiabank (New York, NY)
- Senior Manager , Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant SEC… more
- Wells Fargo (New York, NY)
- …+ Trading and Sales Fixed Income experience on the buy or sell side + Experience with Broker dealer and / or swap dealer housed businesses + Experience with ... **About this role:** Wells Fargo is seeking a Business Manager to support our Foreign Exchange Sales and Trading.../ International focused projects / responsibilities + Experience with Broker dealer and / or swap … more
- Charles Schwab (Lone Tree, CO)
- …to prepare and review, and this position reports to a Director, Audits and SOX Compliance . This Senior Team Manager has up to three direct reports. This position ... ability to develop talent **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, varied… 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
- Guardian Life (Columbus, OH)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more