- Equitable (Charlotte, NC)
- Product Manager, Broker Dealer ( 240000LM ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-Remote **Organization** : ... the Product Manager include: + Responsible for the initial and ongoing due diligence of complex products including but not limited to alternative investments,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …obtained through experience and formal training to develop and maintain an investment due diligence program. Coverage universe will span the spectrum from ... slides based on analysis performed. Collaborate with Raymond James Due Diligence teams to obtain information needed...a minimum of five (5) years experience at a broker / dealer , registered investment advisor or asset manager.… more
- T. Rowe Price (Baltimore, MD)
- … Due Diligence + Perform independent credit analysis and due diligence on new and existing bank and broker / dealer counterparties used for trade ... determine creditworthiness + Experience performing and overseeing due diligence on financial counterparties, including banks, broker /dealers, and… more
- Nuveen Investments (Dallas, TX)
- …that supports Nuveen's product governance framework. + Support aspects of regulatory due diligence in relation to distribution arrangements and licensing and ... the Chief Compliance Officer of Nuveen Securities, LLC, a registered US broker - dealer , and Nuveen Canada Co., a regulated Canadian distribution entity. The… more
- SMBC (Jersey City, NJ)
- …Description** The SMBC Compliance Department monitors the corporate banking, investment banking and broker dealer activities of SMBC Group and reports on the ... SMBC Employee Investment Policy, arranges for the registration of broker - dealer personnel, and conducts compliance training. In...is a plus; + Proficiency with market data and due diligence vendors, such as Bloomberg, Reuters,… more
- Ascensus (Dresher, PA)
- …Anti-Money Laundering (AML) compliance program; Assists with various aspects of the due diligence process of third party investment managers as performed ... and government savings facilitator. The regulated entities may include a broker - dealer , registered investment advisory firms, and transfer agent securities… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …support the products and the Financial Advisors who recommend them. May support operational due diligence efforts on funds on the Raymond James platform. Will ... equity funds. In addition, the individual may support operational due diligence efforts on funds on the...a hedge fund, private equity firm, institutional consultant, or broker dealer + Client disclosure concepts and… more
- TD Bank (Marlton, NJ)
- …by collecting and verifying required customer identification information, and performing other Customer Due Diligence and Enhanced Due Diligence ... expertise of others **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May… more
- Guardian Life (Columbus, OH)
- …case design, strategy, and implementation for client portfolios + Partner with research and due diligence team for review and strategy of portfolio analysis. + ... life and annuity insurance products. Park Avenue Securities is Guardian's broker - dealer and corporate Registered Investment Advisor (RIA), which offers… more
- TD Bank (New York, NY)
- …compliance functions such as surveillance reviews, section 312 reviews and TD affiliates due diligence reviews. + Complete all tasks within required timeframes. ... 10 years of knowledge and experience in AML compliance including within the broker - dealer industry, preferably with a large financial institution. + Excellent… more
- TIAA (Dallas, TX)
- …risks to the firm. ECC works closely with other departments, such as Broker Dealer Compliance, International Compliance, and Legal, and as such, this ... Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence , Influence, Innovation, Relationship Management, Risk… more
- Edward Jones (St. Louis, MO)
- …recommendations on paths forward. The Director may have a background in alternatives due diligence research, including at the strategy level and holistic client ... alternatives to various segments of retail clients at a national broker - dealer at scale. + Communicate strategy updates, investment performance evaluations and… more