- 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 ... **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and...worked. New York, NY: $165,700 - $189,200 for Risk Manager Candidates hired to work in other locations will… more
- Coinbase (Madison, WI)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- SMBC (New York, NY)
- …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
- Scotiabank (Dallas, TX)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... Manager , Compliance Testing **Requisition ID:** 245239 **Salary Range:**...testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
- Robert Half Management Resources (Dallas, TX)
- …and effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to ... Requirements * 10-15 years of experience in internal audit, compliance, or broker - dealer operations . * Extensive knowledge of FINRA and SEC regulations,… more
- TD Bank (Charlotte, NC)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
- Deloitte (Chicago, IL)
- Manager - Capital Markets Operations and Technology Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive ... any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology… more
- US Bank (Atlanta, GA)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... **Job Description** The Corporate Audit Services (CAS) Senior Audit Manager - Wealth, Commercial, Capital Markets is a senior...Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC… more
- Scotiabank (Dallas, TX)
- …international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses. + A ... Senior Manager , US Regulatory Obligations Lead **Requisition ID:** 247598...of this position is to ensure that the US operations of The Bank of Nova Scotia, Scotia Capital… 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 ... regulators and appropriate application of US GAAP. The Senior Manager of Climate Reporting & Data Management is an...of accuracy in every aspect of your work. + Broker - dealer , banking, or asset management industry experience… more
- Scotiabank (Dallas, TX)
- …exam support, including testing or audit background. * Background in broker - dealer inspections, institutional trading & sales, investment banking, futures ... Senior Manager , GBM&T Compliance Testing, International Banking **Requisition ID:**...Compliance Testing reviews for GBM and Treasury (GBM&T) business operations in International Banking (IB), ensuring adherence to regulations… more
- TD Bank (Mount Laurel, NJ)
- …you consider this opportunity._** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management** + **Prior experience… more
- Deloitte (Princeton, NJ)
- …any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology ... Our Enterprise Operations & Risk offering enables clients to achieve...with and add value to our clients. As a Manager , you will have opportunities to: + Lead project… more
- NatWest Markets (Stamford, CT)
- … role + Experience in financial markets or investment banking is required; Broker - Dealer experience is a strong plus + Demonstrated experience in regulatory ... Audit Manager LocationStamford,United States Job typePermanent |Contract typeFull Time...may be assigned as necessary to ensure the proper operations of the department and the business._ As an… more
- Wells Fargo (Chicago, IL)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of...Support team, and Client Associates in various aspects of operations , compliance, and technology Collaborate with the Brokerage Support… more
- TD Bank (New York, NY)
- …to travel 50% of time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... role. **Line of Business:** TD Wealth **Job Description:** The Market Supervision Manager partners closely with the Wealth Market Leader(s) and will be expected,… more
- KeyBank (Brooklyn, OH)
- …SERVICES LLC** **KIS is a retail dual registered fully disclosed introducing broker / dealer and investment adviser that is non-banking affiliate of KeyBank ... 4900 Tiedeman Road, Brooklyn Ohio **The Key Investment Services Sr. Compliance Manager - Compliance Testing and Regulatory Management role is direct report of… 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
- JPMorgan Chase (New York, NY)
- … Operations to drive revenue and client success + Strategize with key broker - dealer firms on 529 plan goals and initiatives + Manage day-to-day relationships ... goals in the way that's best for them. As a 529 Relationship Manager and Investment Specialist within JP Morgan Asset Management's Global Strategic Relationship… more
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