- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … more
- NatWest Markets (Stamford, CT)
- Broker Dealer Testing, VP Stamford,United States Permanent Full Time \#R-00245532 Share: (https://jobs.natwestgroup.com/jobs/15202378- broker - dealer ... as necessary to ensure the proper operations of the department and the business._ ** Broker Dealer Testing VP** This role will report to the Head of Broker … 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 a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) and the… more
- Charles Schwab (Westlake, TX)
- …3-5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- Charles Schwab (Westlake, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... Skills** + 7-10+ years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations and … more
- Guardian Life (New York, NY)
- **Senior Software Engineer - Broker / Dealer ** **Overview** This position works closely with our senior technical leads to translate business requirements into ... MVC, JQuery **Domain Knowledge (Preferred, a big plus.)** + Familiar with broker / dealer and securities processing. + Familiar with industry standard feeds such… more
- JPMorgan Chase (Columbus, OH)
- …invested, and investing with less emotion. Exciting opportunity to join the Independent Broker Dealer team as an Internal Client Advisor. **Job Summary:** As ... an Internal Client Advisor (internal wholesaler), you will assist financial advisors in navigating the complexities of the broader capital markets by offering timely solutions. You will partner with a Client Advisor (external wholesaler), and together, you… 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 ... international regulator relationships and examinations including the Federal Reserve, OCC, SEC, DOL, FINRA, CFPB, State of New York, and/or the State of Delaware, as applicable. **Education/Experience Required:** + Bachelor's Degree in related field. + 6… more
- Equitable (Charlotte, NC)
- Product Manager, Broker Dealer ( 240000LM ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-Remote **Organization** : ... Equitable **Schedule** : Full-time **Description** At Equitable, our power is in our people. We're individuals from different cultures and backgrounds. Those differences make us stronger as a team and a force for good in our communities. Here, you'll work with… more
- USAA (Phoenix, AZ)
- …reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work ... requirements that may be performed in the job. **What we offer:** **Compensation:** USAA has an effective process for assessing market data and establishing ranges to ensure we remain competitive. You are paid within the salary range based on your experience… more
- NatWest Markets (Stamford, CT)
- …compliance including knowledge of CFTC, DTCC,NFA regulation. + Good knowledge of broker - dealer and securities processes and business. + Excellent communication ... Senior Monitoring and Testing Compliance Assurance Officer - Swap Dealer Stamford,United States Permanent Full Time \#R-00244248 Share: (https://jobs.natwestgroup.com/jobs/15076523-senior-monitoring-and-testing-compliance-assurance-officer-swap-… more
- T. Rowe Price (Owings Mills, MD)
- …firm's distribution initiatives related to the sale of Exchange Traded Funds (ETF) through broker dealer intermediaries. The role will report to the Head of ETF ... ensure effective use of date to target highest value ETF users within Broker Dealer segment. + Maintain in-depth knowledge and profile of assigned ETF clients,… more
- SMBC (New York, NY)
- …all support functions. + Provide compliance subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions ... presentations and communications. + Experience working for a non-U.S. bank / broker dealer is highly desirable. + Familiarity with US legal and regulatory… 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 ... + Follows the established guidelines for maintaining client files in accordance with broker - dealer practices and FINRA requirements. + Meets or exceeds the… more
- Atria Wealth Solutions (Greenville, SC)
- …compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures ... + Follows the established guidelines for maintaining client files in accordance with broker - dealer practices and FINRA requirements. + Meets or exceeds the… more
- PNC (Pittsburgh, PA)
- …performed remotely, at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic ... team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate securities,… more
- JPMorgan Chase (Apple Valley, CA)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities,… 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 ... and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and regulations… more
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