- Federal Reserve System (Dallas, TX)
- …the strategy, risk management and controls, and financial performance of the broker / dealer and advisory services business line . You will also be ... for overseeing regulatory compliance with the supervised firm's core business lines, with focus on broker / dealer...firm's core business lines, with focus on broker / dealer and advisory services activities. You will… more
- US Bank (Irving, TX)
- …in the following areas: * Wealth Management laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, Securities and Exchange Commission ... Private Banking) * Capital Market laws and regulations (eg, Broker Dealer , Trust Services, Wealth Management, SEC...and credible challenge to support the development of effective business line control environments subject to compliance… more