- Siebert Williams Shank (New York, NY)
- …CCO or the number two compliance professional for a SEC registered and FINRA member broker - dealer * Have Operations experience including but not limited to ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable,...and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in… more
- Scotiabank (New York, NY)
- Manager , US Internal Control and Global Wholesale Operations - Audit **Requisition ID:** 206124 **Salary Range:** 85,700.00 - 159,100.00 _Please note that the ... operations and internal control within the US This Manager 's role will focus on Internal Control and COO...Management, and IT to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
- Capital One (New York, NY)
- …Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional ... an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer...7 years of experience working in compliance, legal, audit, operations or finance within financial services OR at least… more
- PNC (Pittsburgh, PA)
- …at manager 's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- SMBC (New York, NY)
- … dealer . + Strong knowledge in US securities laws, rules and regulations and broker dealer operations including Primary Dealer . + Ability to ... and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented...Escalates regulatory concerns and other significant matters to their manager . + Interfaces with regulators and Internal Audit during… more
- SMBC (New York, NY)
- …activities. + Strong knowledge in US securities laws, rules and regulations and broker dealer fixed income operations including TRACE reporting, Primary ... and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented...Escalates regulatory concerns and other significant matters to their manager and ongoing support as necessary for matters requiring… more
- Scotiabank (New York, NY)
- …international banking organization with institutional trading & sales, investment banking, institutional broker dealer or FCM/swap dealer businesses. + ... Senior Manager , US Compliance Risk Assessment **Requisition ID:** 207309...risk assessments processes. + Familiarity with US bank and broker dealer laws, rules, and regulations applicable… more
- Citizens (Johnston, RI)
- Description As the CSI Brokerage Operations Manager -Cashiering, you will manage all cashiering related activities and annuity processing activities relating to ... the Brokerage function within the Operations Department. You will manage a team of cashiering...Series 24 Preferred Qualifications: + Prior work experience within broker - dealer environment + Possess ability and willingness… more
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived ... * OPERATIONS ANALYST* WHAT IS THE OPPORTUNITY? Provides operational...* 3 to 5 years of experience in a broker dealer or investment industry * Minimum… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- KPMG (Washington, DC)
- …and/or risk management function, capital markets organization (Asset Management Firm/Investment Adviser, Broker Dealer , Wealth Management Firm, Swap Dealer , ... **Business Title:** Manager , Capital Markets **Requisition Number:** 118216 - 21...and respectfully with others, exhibit trustworthiness, and safeguard business operations and company reputation. Pursuant to the California Fair… more
- Athene (IA)
- …Team participation. + In collaboration with Internal Account Management resources, on-boarding manager and operations BRM team, prioritize and expedite launches ... drive high service standards; deliver consistent and effective communication. + Obtain Broker - dealer approvals for new or enhanced product submissions and… more
- MUFG (New York, NY)
- …and maintenance of applications that support the back-office functions of the broker - dealer , including trading operations , risk management, and regulatory ... of experience in application management, with a focus on financial services or broker - dealer industry. + Strong technical background in .NET, Java, and… more
- Bank of America (Charlotte, NC)
- …the GB&GM test execution organization that provide risk management covering the broker dealer supervision regulatory requirement. EIT has established itself as ... Testing Manager - IC Charlotte, North Carolina;Fort Worth, Texas;...to sales, trading, research, investment banking, commercial banking, and operations . + Provide oversight functions to internal client ensuring… more
- Citigroup (New York, NY)
- …others responsible for providing support on oversight and governance of the US broker - dealer chain legal entities. This role reports into the Chief Legal ... designated representatives from businesses conducting business on the respective entities, operations and technology, legal, finance, and the second line of defense.… more
- Foresters Financial Services (Cleveland, OH)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Charles Schwab (Westlake, TX)
- …5-7+ years of financial services-related audit experience with growing responsibility. Corporate, Broker Dealer , Bank Operations , or Regulatory Compliance ... and internal controls. The Corporate enterprise team is seeking an Internal Audit Manager . The Corporate team is responsible for execution of audits over the firm's… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... Job Title: Wealth Project Manager Business Unit: Brokers International Financial Services Location:...Mark Williams, BI is making significant investments in talent, operations , sales and marketing capabilities, and digital platforms in… more
- Deloitte (Jersey City, NJ)
- …within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting, ... Deloitte Risk and Financial Advisory Risk, Data and Regulatory Liquidity - Manager Deloitte Risk and Financial Advisory's Financial Services Industry (FSI) Risk,… more
- Capco, a Wipro Company (New York, NY)
- …migrations / conversions is required + Ability to understand institutional Broker - Dealer businesses, control infrastructure and technology impacts + Proven ... product and functional knowledge across all areas of the front office, operations , technology, risk, finance and compliance. Our clients include the largest… more
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