- NatWest Markets (Stamford, CT)
- Broker Dealer Advisory - VP Stamford,United States Permanent Full Time \#R-00246157 Our people work differently depending on their jobs and needs. From hybrid ... and Compliance team andcross-functionally. The ideal candidate will have experience with broker - dealer and swap dealer rules and regulations and providing… more
- NatWest Markets (Stamford, CT)
- Broker Dealer Testing, VP Stamford,United States Permanent Full Time \#R-00245532 Our people work differently depending on their jobs and needs. From hybrid ... 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
- PNC (Raleigh, NC)
- …PNC's Enterprise BSA/AML & Sanctions organization in Independent Risk Management to support Broker Dealer . The incumbent will lead a team providing Independent ... BSA/AML Risk Management oversight and governance of our broker dealer business segments, which are inclusive of broker -dealers, private equity and registered… more
- Charles Schwab (Westlake, TX)
- …5-7+ 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
- NatWest Markets (Stamford, CT)
- Broker Dealer Testing Associate Closing date for applications: 06/02/2025 Stamford,United States Permanent Full Time \#R-00249216 Our people work differently ... including knowledge of CFTC, DTCC, NFA regulation. + Some knowledge of broker - dealer and securities processes and business. + Excellent communication skills in… more
- Huntington National Bank (Columbus, OH)
- Description Job Title Broker - Dealer Accountant 3 Reporting to the Business Segment Controller, this position will play a vital role in the broker - dealer ... that may impact accounting and net capital. + Become knowledgeable with clearing broker 's back office system and work with Operations Manager to promptly resolve any… more
- Broadridge Financial Solutions (New York, NY)
- …responsible for providing all planning analytics and decision-support for the Bank Broker Dealer (BBD) and Broadridge Customer Communications (BRCC) Businesses. ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you'll serve as ... information privacy consultant for our Benefits & Protection Principal Securities business segments, provide program management and business representation, oversee ongoing business activities related to the development, implementation, maintenance of, and… 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
- Comerica (Charlotte, NC)
- …* Managing the onboarding and assessment of new Partners and Investment Programs. * Implementing monitoring, meetings, exception tracking, collecting data points and ... due diligence questionnaires across Partners and RIAs. * Escalation point for all third-party Investment Manager related issues. * Accurate coding on impacted systems, platforms, and feeds. * Strengthening due diligence process, policies, and procedures. *… more
- NatWest Markets (Stamford, CT)
- …compliance including knowledge of CFTC, DTCC, NFA regulation. + Knowledge of broker - dealer and securities processes and business. + Excellent communication ... Swap Dealer Testing VP Closing date for applications: 06/02/2025...proper operations of the department and the business._ **Swap Dealer Testing VP (2LOD)** Reporting to the Senior Monitoring… 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 Our people work differently… more
- Athene (West Des Moines, IA)
- …Legal & Compliance team. This role supports the Financial Institution/ Broker - Dealer suitability delegation oversight process, including certifications, ... management to meet FINRA requirements, applying a working knowledge of FINRA broker - dealer regulations. This role may involve participating in the regulatory… 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
- SMBC (New York, NY)
- …Objectives** As Head of Compliance Infrastructure Advisory, you will: + Coordinate bank, broker - dealer , and swap dealer regulatory Compliance programs across ... + Participate in updates and reviews of compliance policies for bank, broker - dealer , and swap dealer regulations. + Design and deliver compliance… more
- Truist (Charlotte, NC)
- …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
- Scotiabank (New York, NY)
- …upgrades and accounting rules engine implementations. + Responsible for preparing key Broker Dealer regulatory reports, including the FOCUS report, FINRA ... Reporting, FR Y-15, and other Fed reports. + Coordinate with the Head of Broker Dealer Regulatory Reporting ensuring compliance with Broker Dealer 15c3-1… 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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