- Equitable (Charlotte, NC)
- Product Manager , Broker Dealer ( 240000LM ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-Remote **Organization** ... platform of investment products and advisory solutions. Responsibilities of the Product Manager include: + Responsible for the initial and ongoing due diligence… more
- Charles Schwab (Westlake, TX)
- …Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit Manager . The Broker - Dealer /Asset Management team provides internal audit ... back office operational functions. Reporting to a Director of the Broker - Dealer /Asset Management enterprise team, the Internal Audit Manager will have… more
- Charles Schwab (Westlake, TX)
- …middle and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- M&T Bank (Clanton, AL)
- …institutions. Assist in oversight of Wealth, Institutional Client Services and Institutional Broker dealer testing for state, federal, domestic and possibly ... and coaching of team members to deliver a quality product in line with department standards. This role supports...and business unit management under the direction of a Manager . + Lead collaborative testing team discussions with all… more
- USAA (Phoenix, AZ)
- …Provides guidance to the business to ensure documents, projects, processes or product initiatives align with regulatory and legal requirements and enterprise policy. ... + Synthesizes analyses, identifies root cause(s) of potential compliance risk, provides recommendations that influence business solutions and validates resolution + Responsible for project management by leading and influencing cross functional enterprise or… more
- T. Rowe Price (Owings Mills, MD)
- …firm's distribution initiatives related to the sale of Exchange Traded Funds (ETF) through broker dealer intermediaries. The role will report to the Head of ETF ... make a difference. We are a premier asset manager focused on delivering global investment management excellence and...of date to target highest value ETF users within Broker Dealer segment. + Maintain in-depth knowledge… more
- Scotiabank (New York, NY)
- …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... Senior Manager , US Finance & Regulatory Reporting - Audit...regionally and globally 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 ... and regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping… more
- JPMorgan Chase (Apple Valley, CA)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... for JP Morgan Asset Management. As a leading Alternatives manager (over $200 Billion assets under management globally across...contact broker - dealer firms to identify avenues for increased… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... or observer of various committees such as the New Product , Underwriting, Risk Management, Compliance, and Training committees. The...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... relationships include Cuso Financial Services, LP, investment and insurance product vendors and other professionals as the need may...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- T. Rowe Price (Owings Mills, MD)
- …and understanding of trading rules and regulations as they pertain to the broker / dealer and RIA space. Strong understanding of direct indexing, UMAs, SMAs, ... make a difference. We are a premier asset manager focused on delivering global investment management excellence and...trading rules and regulations as they pertain to the broker / dealer and RIA space. + MBA and/or… 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 ... of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This...the allegations, identification of the correct FINRA problem and product codes and, more substantively, the determination of whether… more
- HUB International (Traverse City, MI)
- …(SPG) is the wholesale & MGA division of HUB International (5th Largest Global Broker ). SPG acts in a holding company capacity acquiring best in class underwriting ... Develop a deep understanding of all branded programs and product offerings. + Set goals and objectives that are...effective and accurate adjudication of claims presented by the dealer network, including: + Timely analysis and communications with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and procedures of product development and management in a financial services/ broker - dealer environment. * Principles of banking & finance and securities ... Wealth Solutions and will provide support to the Offshore Mutual Fund Product Manager . In addition, they will provide support in the following areas: legal… more
- Athene (IA)
- …high service standards; deliver consistent and effective communication. + Obtain Broker - dealer approvals for new or enhanced product submissions and critical ... Athene's annuity products will be critical. The VP-Business Development, Key Account Manager will be proficient in all aspects of business development, relationship… more
- SMBC (New York, NY)
- …offices in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest rates and foreign ... Securities America, Inc. (Nikko US) is an SEC-registered securities broker - dealer and member of the Financial Industry...the SMBC Global Markets business unit. The Credit Intake Manager will be part of the Client Lifecycle team… more
- City National Bank (San Francisco, CA)
- …Capital Markets activity is conducted under bank permissible activities, not under registered swap dealer or broker dealer activity. This role is responsible ... *SENIOR BUSINESS CONTROL MANAGER - CAPITAL MARKETS* WHAT IS THE OPPORTUNITY?...necessary. * Assess risk issues presented through complex new/revised product and service offerings and work closely with senior… more
- Atria Wealth Solutions (San Diego, CA)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... institutions and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent financial… more
- SMBC (New York, NY)
- …of business lines includes traditional banking (including digital bank), swap dealer and broker dealer . Product coverage includes but is not limited to ... traditional banking (deposits, loans and commitments), derivatives and money market products (Repos and Reverse repos). The Associate/VP will combine their working knowledge of liquidity risk along with their technical skills to develop framework and tools… more