- 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
- Tradeweb (New York, NY)
- …services firm in the role of a CCO or similar senior role supporting a broker dealer . + Strong understanding of regulatory and self-regulatory agencies rules and ... implementation and oversight of the compliance program established to support the broker - dealer and will monitor and act upon regulatory developments relating to… 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 (Lone Tree, CO)
- …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
- Charles Schwab (Lone Tree, CO)
- …Schwab Corporation and related subsidiaries. Within the Corporate Controller's Department, Broker - Dealer Accounting is responsible for maintaining the income ... recognizing, analyzing, and explaining the various income streams of the broker - dealer . Since Schwab's revenue model is highly complex and dependent on… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Broker Dealer Trader II to join our Broker Dealer Services team. In this role, you'll provide prompt, courteous ... atmosphere **Skills That Will Help You Stand Out** + 2+ years of prior Broker Dealer experience preferred + FINRA Series 53 & 4 + Prior FINRA CAT experience… 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
- T. Rowe Price (Baltimore, 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
- 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
- Morgan Stanley (FL)
- …manner with sophisticated Advisors in implementing advanced strategies, increasing AUM of major Broker - Dealer clients. *What you'll do in the role* * Responsible ... Specialist is responsible for representation of product distribution within Broker -Dealers, both wire-house and independents, for their assigned territory.… 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
- 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
- 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
- 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 ... **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures activities. +… 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
- Truist (Atlanta, GA)
- …compliance with the Enterprise Compliance Management Policy and Framework for the Institutional Broker Dealer . **LOCATION:** **We are currently in the office 3 ... 1. Interpret new or existing laws, rules and regulations for an Institutional Broker Dealer that are complex and multifaceted and use that knowledge as a subject… 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 ... 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
- 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 ... both regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships with stakeholders… more
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