- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will ... be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker -dealers and provide compliance support to… more
- Federal Reserve System (Dallas, TX)
- …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + Strong ... Advanced abilities to apply and explain complex regulatory concepts relating to broker dealer /advisory services activities. + Capacity to pursue multiple… more
- Capital One (Mclean, VA)
- Center 1 (19052), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager ... will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and… more
- City National Bank (Los Angeles, CA)
- **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with daily ... supervision of Broker Dealer and Investment Advisory activity. Responsible for reviewing and approving new account documentation, trade blotters, written and… more
- Charles Schwab (Phoenix, AZ)
- …the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit ... responsible for executing application reviews in business integrated audits. The Broker - Dealer /Asset Management team provides internal audit coverage of the… more
- Scotiabank (New York, NY)
- Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note ... every future! **Purpose:** Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions Compliance, The role will lead and… more
- Robert Half Finance & Accounting (New York, NY)
- …Half Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. Our client requires a CPA ... and 1+ years of Public/Private Accounting experience with Banking or Broker Dealer industry knowledge. The role reports directly into the Senior Accounting… more
- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its legal entity control division in ... + FINRA Series 27 preferred but not required. Working knowledge of broker - dealer regulatory environment is a must. + Understanding of Fixed Income/Equity… more
- Charles Schwab (Westlake, TX)
- …team as a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though this is an Individual ... years of experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment advisory businesses,… more
- Moss Adams LLP (Pasadena, CA)
- **Tax Senior Manager - Asset Management, Broker Dealer ** **Description** At Moss Adams, we champion authenticity. For us, that means fostering a culture of ... + CPA or Bar License required Proven industry experience in Asset Management, Broker Dealer + Minimum of 4 years supervising and training experience + Subject… more
- Truist (Richmond, VA)
- …for conducting and directing compliance risk oversight of assigned business units ( Broker Dealer ) and/or functions. Leads and executes compliance risk management ... **Preferred Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven compliance experience within a financial… more
- Robert Half Finance & Accounting (New York, NY)
- …Services are recruiting for a Financial Analyst Senior Associate role within a global Broker Dealer firm located in downtown Manhattan New York. Our client ... requires 3-6+ years' Financial Analysis, FP& A or Business Performance experience at Financial Institution with strong Excel, Financial Modeling and P& L knowledge. This role is hybrid remote requiring 3 days per week in the downtown Manhattan office. This… more
- US Bank (New York, NY)
- …eight years of applicable experience - Experience and understanding of retail broker - dealer risks, products, operations and regulatory requirements - Experience ... and understanding of audit methodology and project management - Considerable knowledge of applicable laws, regulations, financial services, and regulatory trends that impact their assigned line of business - Considerable understanding of the business line's… more
- Guardian Life (Holmdel, NJ)
- …Managed account implementation strategies include Strategists, UMA, SMA, Rep as PM, Multiple Strategy Proposals, Multiple Account Proposals as well as our Digital ... strategy. The Operations Sr Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet, Orion and our new digital partner, are used to facilitate a strategy, from proposal through to account investing. This individual will… more
- Atria Wealth Solutions (Houston, TX)
- …overall maintenance of client information housed at vendor companies and within the Broker Dealer 's back office system + Assist with various special projects ... to Financial Advisors and business partners. + Candidate should have some Broker Dealer experience. + College degree or comparable experience + Candidate should… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Job Summary:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including: funding and liquidity risk management, asset liability… more
- Truist (Dallas, TX)
- …lending in designated geographic areas nationwide. Maximize loan production volume from existing dealer and broker clients with focus on Bank's guidelines for ... quality, profitability and growth. Identify and recruit qualified prospective new dealer and broker clients. This position is fully remote and required working… more
- JPMorgan Chase (Jersey City, NJ)
- …experience in Risk Management, regulatory or audit best practices relating to US Broker Dealer regulations, rules and laws. **Job Responsibilities** + Coordinate ... and skills** + Minimum bachelor's degree with 3-5 years of experience supporting a US broker dealer or front office business within a US broker dealer . +… more
- Hold Brothers (New York, NY)
- Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of Finance & Operations to oversee the self-clearing brokerage ... reconcile data. + Preparing financials and books and records for the Broker - Dealer according to GAAP and ensuring all regulatory reporting requirements are met.… 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
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