- City National Bank (Los Angeles, CA)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... SR. AUDIT MANAGER - TREASURY/FINANCE Ensure all your application information is...information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program… more
- Coinbase (Madison, WI)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- Capital One (New York, NY)
- Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker - Dealer ...worked. New York, NY: $159,400 - $181,900 for Risk Manager Candidates hired to work in other locations will… more
- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- T. Rowe Price (Owings Mills, MD)
- …a difference in ways that matter to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is responsible for ensuring ... of mutual funds, exchange traded funds, private placement agent activities, dealer / manager of business development company, and introducing broker / dealer … more
- Scotiabank (Dallas, TX)
- …should involve compliance testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading ... Manager , Compliance Testing **Requisition ID:** 245239...covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap … more
- Zions Bancorporation (Salt Lake City, UT)
- …practices. The Compliance Manager will lead and oversee the firm's compliance programs for its FINRA-registered broker - dealer , bank broker ... the opportunity. **We are currently seeking a** **Risk and Compliance Manager ** **within the Market, Liquidity, Wealth...divisions of Zions Bancorporation including but not limited to Broker Dealer , Capital Markets and Public Finance… more
- SMBC (New York, NY)
- …issue management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
- Vanguard (Scottsdale, AZ)
- …for our Cash Plus product. This role is responsible for ensuring regulatory compliance and operational integrity across broker - dealer cash management ... across payment systems and card operations. + Demonstrate strong understanding of broker - dealer cash management accounts and related regulations (eg, Reg E,… more
- Equitable (Philadelphia, PA)
- Sr. Regional Compliance Manager ( 250000LL ) **Primary Location** : UNITED STATES-PA-Philadelphia **Other Locations** : UNITED STATES-MA-Boston, UNITED ... / knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer . + Self-Starter, Strong organizational, analytical, investigative / auditing… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Wells Fargo (St. Louis, MO)
- …for relationship management for a segment or clients across First Clearing Introducing Broker Dealer and Register Investment Advisors. + Establish and build ... **About this role:** Wells Fargo is seeking a **Senior Relationship Manager ** to join the First Clearing team. This individual will play a critical role in managing… more
- Charles Schwab (Lone Tree, CO)
- …external reporting requirements for applicable subsidiary entities, including Schwab's broker - dealer , banks, and international subsidiaries. The SEC Reporting ... Financial Disclosures (TCFD), and other relevant frameworks. The Senior Manager oversees compliance with mandatory climate reporting requirements,… more
- Charles Schwab (Lone Tree, CO)
- …applications; . Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; . Advanced skills in Excel; . Knowledge of Python or ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the… more
- Guardian Life (Columbus, OH)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is committed to providing fair… more
- Zions Bancorporation (Salt Lake City, UT)
- …business lines and products may include the Company's Capital Markets division, Bank Dealer , Broker / Dealer , Trust Divisions, Municipal Advisors and Finance, ... talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer** **within the Market, Liquidity, Wealth Risk & Compliance … more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Wells Fargo (Atlanta, GA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking an experienced Relationship Manager to help lead Multi-National Corporations (MNC) Subsidiary Coverage within Corporate… more
