- Charles Schwab (Westlake, TX)
- …and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior...draft audit observations for review by the Internal Audit Manager / Senior Manager (and above levels)… more
- 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
- PNC (Raleigh, NC)
- …PNC's Enterprise BSA/AML & Sanctions organization in Independent Risk Management to support Broker Dealer . The incumbent will lead a team providing Independent ... BSA/AML Risk Management oversight and governance of our broker dealer business segments, which are inclusive of broker -dealers, private equity and registered… more
- Siebert Williams Shank (New York, NY)
- Siebert Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable, driven, intellectually curious and ... and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in...sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry… more
- 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 of… more
- Scotiabank (New York, NY)
- Senior Manager , US Finance & Regulatory Reporting - Audit **Requisition ID:** 208343 **Salary Range:** 110,700.00 - 211,800.00 _Please note that the Salary Range ... across industries! We work together to drive ambition for every future! **Purpose** The Senior Manager , US Finance & Regulatory Reporting will lead and execute… more
- Scotiabank (New York, NY)
- Senior Manager , Scotia Capital (USA) Inc. Controller **Requisition ID:** 214216 **Salary Range:** 117,400.00 - 224,700.00 _Please note that the Salary Range ... upgrades and accounting rules engine implementations. + Responsible for preparing key Broker Dealer regulatory reports, including the FOCUS report, FINRA… 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
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Manager , you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- T. Rowe Price (San Francisco, CA)
- …development of strategic relationships with the Centers of Influence (COI) at our largest broker dealer clients to execute on account plans and firm goals. In ... management for large, highly complex accounts with our top Broker Dealer clients (Morgan Stanley Wealth Management,...Lead COI engagement within assigned territory, assisted by a Senior Client Engagement Manager (CEM) and Associate… more
- T. Rowe Price (Owings Mills, MD)
- …join us and grow your career with us. Role Summary As aT Rowe Price Senior Manager , you will lead trade management and portfolio implementation for discretionary ... operational goals aligned with the department's functional strategy. A Senior Manager is pivotal in maintaining operational...trading rules and regulations as they pertain to the broker / dealer and RIA space. Strong understanding of… more
- City National Bank (New York, NY)
- …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 Control… more
- Scotiabank (New York, NY)
- Senior Manager , Compliance Risk Analytics and...with institutional trading & sales, investment banking, or institutional broker dealer . + A minimum of 5 ... in place to satisfy applicable US legal and regulatory requirements/expectations. The Senior Manager will assist in establishing a framework for identifying,… 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
- PNC (Houston, TX)
- …swaps products (eg, interest rate derivatives, commodity derivatives, foreign exchange) and/or broker dealer products (eg, fixed income securities). * Has ... to the company's success. As a Compliance Program Specialist Senior , you will be within PNC's Risk, Change, Experience...knowledge of NFA/CFTC swap dealer requirements and/or FINRA/SEC broker … 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
- Citigroup (Jacksonville, FL)
- …staff development and ability to delegate + In-depth knowledge of Bank and Broker - Dealer businesses + Strong knowledge and experience in complex investment ... ensure appropriate risk mitigation actions are in place and escalate to senior management as appropriate + Provide supervision of Risk Control team's efforts… 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 ... exercise. **Qualifications and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed income futures… more
- Broadridge Financial Solutions (New York, NY)
- …get ahead of todays challenges to capitalize on whats next. Bank, Broker - Dealer (BBD) and Broadridge Customer Communications (BRCC) drives business ... transformation for its bank and broker - dealer clients, with communications, technology, data, and...of the Broadridge business, as well as exposure to senior leaders across the organization. The Manager … more