• Global Broker - Dealer Legal Entity…

    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
    Citigroup (09/12/24)
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  • Broker Dealer Testing, VP

    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
    NatWest Markets (11/14/24)
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  • Broker / Dealer Compliance Officer

    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
    Siebert Williams Shank (10/04/24)
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  • Internal Audit Manager- Broker

    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 (11/27/24)
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  • Senior Auditor, Broker Dealer /Asset…

    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
    Charles Schwab (11/27/24)
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  • Broker Dealer Trade Settlement…

    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
    Huntington National Bank (11/06/24)
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  • Vice President, Broker - Dealer

    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
    SMBC (10/30/24)
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  • Senior .Net, SQL, SSIS Developer - Broker

    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
    Guardian Life (11/15/24)
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  • Asset Management- Internal Client Advisor…

    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
    JPMorgan Chase (11/15/24)
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  • Compliance Testing Advisor - Institutional…

    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
    M&T Bank (11/13/24)
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  • Product Manager, Broker Dealer

    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
    Equitable (10/30/24)
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  • Compliance Risk Manager Senior- Broker

    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
    USAA (11/20/24)
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  • Senior Monitoring and Testing Compliance Assurance…

    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
    NatWest Markets (11/13/24)
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  • Broker Deal ETF Sales Specialist (West)

    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
    T. Rowe Price (09/03/24)
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  • Compliance Infrastructure Advisory

    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
    SMBC (09/30/24)
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  • Financial Advisor

    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 (10/08/24)
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  • Financial Advisor

    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
    Atria Wealth Solutions (10/08/24)
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  • Accounting Specialist Senior- Capital Markets…

    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
    PNC (11/17/24)
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  • Asset Management - West Coast Private Wealth…

    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
    JPMorgan Chase (09/22/24)
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  • Senior Compliance Officer - Public Side Advisory…

    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
    SMBC (11/27/24)
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