- Capital One (New York, NY)
- …regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping ... Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support… more
- M&T Bank (Boston, MA)
- … senior management on compliance matters. **Supervisory/Managerial Responsibilities:** Broker Dealer Compliance team. **Education and Experience Required:** ... degree and ten (10) years' financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu… more
- Robert Half Finance & Accounting (New York, NY)
- …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 ... Public/Private Accounting experience. The role reports directly into the Senior Accounting Manager for the US, and...the control and analytical review of holding company and broker dealer results, and inter-company confirmations +… more
- Citigroup (New York, NY)
- The Senior Audit Manager is a senior ...a role focusing on coordinating the assurance coverage of the Broker Dealer - Citi Global Markets Inc. This ... build effective teams, and manage a budget. + Manage coverage of US broker dealer entity (CGMI) by working collaboratively across silos in Internal Audit to… 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)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- Scotiabank (New York, NY)
- Senior Manager , US Compliance Risk Assessment **Requisition ID:** 207309 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... industries! We work together to drive ambition for every future! **Purpose** The Senior Manager , US Compliance Risk Assessment contributes to the overall success… more
- Charles Schwab (Westlake, TX)
- …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... ensuring compliance at all times, and escalating issues to senior management as necessary. We work with internal and...of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel;… more
- Citigroup (New York, NY)
- …PAA analysis. Familiar with data requirements and architecture supporting banking and /or broker dealer activities / products. Proactively flag key risks and ... partners. **The Primary Responsibilities:** + Support Global Spread Product Senior Group Market Risk manager , managing price/market...6+ years' experience, ideally in a major bank or broker dealer , and / or experience working… 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?** The Senior Business Control Manager will report into the Business… more
- TD Bank (New York, NY)
- …serves as a crucial safeguard against financial Crimes within our Wealth and Broker Dealer groups. The Senior Manager should be well-versed in AML laws ... this role. **Line of Business:** Financial Crime Risk Management **Job Description:** The Senior Manager , AML Financial Crime Risk Oversight oversees the team… more
- Truist (Atlanta, GA)
- …products 5. Subject matter expert in the unique regulatory requirements for institutional broker dealer (FINRA,SEC) and swap dealer (CFTC,NFA) 6. Advanced ... governance, and analytic abilities. 9. Ability to provide effective challenge to senior leaders and business partners. 10. Demonstrated proficiency in basic computer… more
- Charles Schwab (Westlake, TX)
- …financial institution + Demonstrated detailed knowledge of finance + Deep knowledge of broker / dealer liquidity requirements (series 27 preferred) + Deep ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Charles Schwab (Lone Tree, CO)
- …clients comfort to invest their assets with Schwab. The SCO is looking for a Senior Team Manager to support the Information Technology (IT) portions of the ICFR ... and ICOC Assessments. This Senior Team Manager will be accountable for...develop talent **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust… more
- T. Rowe Price (Owings Mills, MD)
- …the opportunity to join us and grow your career with us. Role Summary The Senior Manager provides direction and guidance for T. Rowe Price Investment Services, ... make a difference. We are a premier asset manager focused on delivering global investment management excellence and...matter expert ("SME") for the Director, North America Compliance, Broker Dealer in monitoring and enhancing compliance… more
- Atria Wealth Solutions (Greensboro, NC)
- …compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate. + Follows established policies and procedures ... or according to an established schedule determined by your manager . Purpose of the Job The Financial Advisor II...established guidelines for maintaining client files in accordance with broker - dealer practices and FINRA requirements. + Meets… more
- Scotiabank (New York, NY)
- Senior Manager , Markets Compliance Officer **Requisition ID:** 204138 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range shown is a ... years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …+ Seasoned in financial service industries (asset management, wealth management, Broker / Dealer or insurance) + Excellent decision-making and priority-setting ... skills + Knowledge of internal controls over financial reporting + Capacity to quickly adapt to change and influence without authority Preferred Qualifications: + CPA or related designation + Master's degree To learn more about this opportunity, reach out to… more
- Scotiabank (New York, NY)
- …Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, investment management activities, ... Manager , Compliance Testing **Requisition ID:** 206799 **Salary Range:**...testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
- Ankura (MA)
- …license required; . Five or more years of progressively responsible experience having attained the Senior Manager or Manager level in an audit firm; . PCOAB ... root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent… more