- Capital One (New York, NY)
- …regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping ... Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support… 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 ... and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in...sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry… more
- Equitable (Charlotte, NC)
- Product Manager , Broker Dealer ( 240000LM ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-Remote **Organization** : ... platform of investment products and advisory solutions. Responsibilities of the Product Manager include: + Responsible for the initial and ongoing due diligence of… 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 other compliance officers to confirm validity of issues; make recommendations to Senior Compliance Testing Manager regarding the appropriate tier rating of… more
- Capital One (New York, NY)
- …Finance, HealthCare Finance, Real Estate Finance, Treasury, Commercial Card and a Broker Dealer . **The Senior Manager , Senior Counsel will be ... NYC 299 Park Avenue (22957), United States of America, New York, New York Senior Manager , Senior Counsel - Commercial Bank Litigation **The Role and the… more
- Citigroup (New York, NY)
- The Senior Audit Manager is a senior ...a role focusing on coordinating the assurance coverage of the Broker Dealer - Citi Global Markets Inc. This ... build effective teams, and manage a budget. + Manage coverage of US broker dealer entity (CGMI) by working collaboratively across silos in Internal Audit to… 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
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- Scotiabank (New York, NY)
- Senior Manager , US Compliance Risk Assessment **Requisition ID:** 207309 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... industries! We work together to drive ambition for every future! **Purpose** The Senior Manager , US Compliance Risk Assessment contributes to the overall success… 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 THE OPPORTUNITY? The Senior Business Control Manager will report into the Business Control… more
- Citigroup (Tampa, FL)
- Citibank, NA seeks an Applications Development Senior Manager for its Tampa, Florida location. Duties: Advance the end-to-end delivery product control interface, ... foreign exchange exposure management systems to enable the combined Broker Dealer and Bank Chain entities currency...and 4 years of experience as an Applications Development Manager , Applications Development Senior Programmer Analyst, … more
- Atria Wealth Solutions (Greensboro, NC)
- …compliance 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
- 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 ... years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant… more
- TEKsystems (St. Petersburg, FL)
- …requirements for program-specific reporting; including scorecards/dashboards. Skills & Qualifications: + Broker dealer or investment services experience is a ... plus + CPA, CFE, CRMA, CIA, CBCP, CISSP, CRISC, Series 7 preferred About TEKsystems: We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... exercise. **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures… more
- Ankura (Chicago, IL)
- …license required; . Five or more years of progressively responsible experience having attained the Senior Manager or Manager level in an audit firm; . PCOAB ... root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent… more
- Scotiabank (New York, NY)
- …Compliance, Risk Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders ... Manager , US Internal Control and Global Wholesale Operations...environment. **What You'll Bring** + 5+ years of progressive banking/ broker - dealer experience in audit, risk, compliance, and/or… 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...of the team's deliverables and providing recommendations to client senior leadership Qualifications: + Minimum five years of related… more
- MUFG (New York, NY)
- …maintenance of applications that support the back-office functions of the broker - dealer , including trading operations, risk management, and regulatory ... of experience in application management, with a focus on financial services or broker - dealer industry. + Strong technical background in .NET, Java, and… more
- Atria Wealth Solutions (San Jose, CA)
- …member inquiries; effectively work with the back-office support personnel at vendors and broker - dealer to ensure a high degree of quality service and member ... goals. + Partner closely with the credit union branch manager to create a plan to educate members and...LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable track… more