- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and...worked. New York, NY: $159,400 - $181,900 for Risk Manager Candidates hired to work in other locations will… more
- Coinbase (Madison, WI)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior ... management, system interfaces, and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor will have… more
- SMBC (New York, NY)
- …management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- Vanguard (Scottsdale, AZ)
- …payment systems and card operations . + Demonstrate strong understanding of broker - dealer cash management accounts and related regulations (eg, Reg E, Reg ... We're hiring a Cash Product Risk Senior Manager to lead risk oversight for our Cash...Graduate degree preferred. + Deep expertise in broker - dealer cash management accounts, payment systems, card operations… more
- Scotiabank (Dallas, TX)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... Manager , Compliance Testing **Requisition ID:** 245239 **Salary Range:**...testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
- Robert Half Management Resources (Dallas, TX)
- …and effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to ... Requirements * 10-15 years of experience in internal audit, compliance, or broker - dealer operations . * Extensive knowledge of FINRA and SEC regulations,… more
- TD Bank (Mount Laurel, NJ)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
- Deloitte (Chicago, IL)
- Manager - Capital Markets Operations and Technology Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive ... any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology… more
- NatWest Markets (Stamford, CT)
- …of broker dealerfinancial regulationor accounting firm experience auditing a US regulated broker dealer + Must have experience working with SEC rule 15c3-1 ... Regulatory Reporting Manager , VP LocationStamford,United States Job typePermanent |Contract typeFull...may be assigned as necessary to ensure the proper operations of the department and the business._ Be a… more
- US Bank (St. Paul, MN)
- …experience or direct loan servicing experience **_Preferred Skills/Experience_** + 5+ years of broker dealer securities operations experience ideally in a ... us** USBI is a major underwriter and secondary market dealer and market maker of high grade and high...DTC settlements and fail management. + Assist the department manager on a variety small and large initiatives and… more
- JPMorgan Chase (Newark, DE)
- …related financial services operations . + Understanding of Stock Borrow Loan, Broker Dealer (Prime Broker ) **Preferred qualifications, capabilities, and ... Elevate your career as a Project Manager II with us, where your operational expertise...skills** + Direct experience in Equities Operations , Stock Borrow Loan, Broker … more
- Deloitte (Princeton, NJ)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Our Enterprise Operations & Risk offering enables clients to achieve...with and add value to our clients. As a Manager , you will have opportunities to: + Lead project… more
- JPMorgan Chase (Newark, DE)
- …related financial services operations . + Understanding of Stock Borrow Loan, Broker Dealer (Prime Broker ) **Preferred qualifications, capabilities, and ... Elevate your career as a Project Manager II with us, where your operational expertise...skills** + Direct experience in Equities Operations , Stock Borrow Loan, Broker … more
- NatWest Markets (Stamford, CT)
- … role + Experience in financial markets or investment banking is required; Broker - Dealer experience is a strong plus + Demonstrated experience in regulatory ... Audit Manager LocationStamford,United States Job typePermanent |Contract typeFull Time...may be assigned as necessary to ensure the proper operations of the department and the business._ As an… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... Job Title: Wealth Project Manager Business Unit: Brokers International Financial Services Location:...Mark Williams, BI is making significant investments in talent, operations , sales and marketing capabilities, and digital platforms in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and any other applicable fraud-related regulatory or industry rules and guidance + Broker - dealer operations , transaction methods & financial products, and ... The Fraud Investigations Manager is responsible for leading a high-performing, production-based...+ Principles of banking and finance and securities industry operations **Skill in** + Team leadership, coaching, and performance… more
- Wells Fargo (Long Island City, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of...technology and service inquiries from Financial Advisors, Client Associates, Operations and other branch and Support Center employees to… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls… more