- Truist (Sacramento, CA)
- …States of America) **Please review the following job description:** Develop and maintain dealer client relationships with key auto dealer personnel in order to ... meet or exceed contract volume, quality, and efficiency goals. Support dealer clients by uncovering and solving needs through Integrated Relationship Management… more
- M&T Bank (Boston, MA)
- …services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined minimum of 14 ... + Exercise usual authority of a manager concerning staffing, performance appraisals, promotions, salary recommendations, performance management...experience in senior level roles in broker dealer compliance . + FINRA Series 7, 63,… more
- Citigroup (Jersey City, NJ)
- Serves as a senior compliance risk manager for Independent Compliance Risk Management (ICRM)'s Compliance Independent Assessment (CIA) Team responsible ... for assessing compliance with Volcker rule, Swap dealer requirements and significant compliance risks and...activities globally with strong collaboration with global Markets Product Compliance senior management in accordance with CIA)… more
- Ally (Austin, TX)
- …be, too? **The Opportunity** Actual Job Title: Associate Analyst - Dealer Lending Keywords: Commerical Underwriter, Auto Underwriter, Research Auto Analyst, Data ... 2 days remote As a part of the SmartAuction Dealer Lending team, the Associate Analyst is responsible for...statistical analysis). **The Work Itself** * May interface with senior management to convey information. * Conduct proactive risk… more
- M&T Bank (Buffalo, NY)
- …participation in classroom training, observations of departmental presentations, interaction with senior management, peer networking, and working in teams on two ... in banking, communication and leadership, and personalized coaching and feedback. Performance measures may include several objective test scores, peer and sponsor… 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
- 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 ... (22957), United States of America, New York, New York Compliance Advisor Senior Manager The Compliance... Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will… 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 ... compliance , AML/ATF/sanctions and conduct risk. + Champion a high- performance environment and contribute to an inclusive work environment. **What You'll… more
- PNC (Pittsburgh, PA)
- …an opportunity to contribute to the company's success. As an Accounting Specialist Senior within PNC's Capital Markets Finance organization, you will be based in ... at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business for C&IB… more
- Charles Schwab (Lone Tree, CO)
- …to prepare and review, and this position reports to a Director, Audits and SOX Compliance . This Senior Team Manager has up to three direct reports. This position ... status quo" and transform the finance industry together._ The Sarbanes-Oxley Compliance Office (SCO) performs risk assessment, scoping, testing, concluding, and… more
- Truist (Cincinnati, OH)
- …and other avenues to our client dealer base. 2. Risk / Portfolio Performance : Ensure strict compliance to all guidelines and policies through effective risk ... may change from time to time. 1. Sales and Dealer Relations: Oversee and manage all Internal Dealer...ensure Center meets all State and Federal Regulatory and Compliance standards. 3. Staff Management: Provide management and leadership… more
- Bank of America (New York, NY)
- …Officers (CCO) in administering their duties to oversee the Company's swap and SBS dealer compliance and operational risk program; * Assist with drafting the CCO ... to address regulatory requirements + Oversees independent risk management reporting to Global Compliance and Operational Risk senior leaders and FLU and CF … more
- Paccar Winch Inc. (Broken Arrow, OK)
- …employees to work safely without injury, maintaining the highest safety standards in compliance with Company safety policies. Summary: The Senior Sales Manager ... Senior Sales Manager Apply now " Apply now...and coordinate increased sales. This involves marketing and other Dealer /Distributor programs, policy development, and furthermore possess the ability… more
- Citizens (Tarrytown, NY)
- …insurance regulatory requirements pertaining to marketing and advertising in a retail broker/ dealer environment. + Knowledge of compliance related matters within ... Description The Compliance Team Lead will have responsibilities within the...of Citizens Wealth Management, including its registered investment advisor, broker- dealer and trust activities. The role ensures that the… more
- Truist (Atlanta, GA)
- …to serve as a proxy for the Governance and Controls Officer with senior leadership, committee presentations, audit, or regulators. Following is a summary of the ... 4. Support the business in the development of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs). 5....11. Communicate, lead discussions, present materials as needed to senior leaders, committees, audit and/or regulators. Serve as a… more
- TD Bank (New York, NY)
- …and 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 and ... controls + Contributes to the development and implementation of AML/ATF/Sanctions/ABAC Compliance programs + Works with senior business unit management/partners… more
- Truist (Atlanta, GA)
- …its control environment. 4. Support the business in the development of Key Performance Indicators (KPIs) and Key Risk Indicators (KRIs). 5. Provide risk management ... and regulatory knowledge with an emphasis on: Credit, Market, Liquidity, Compliance , Operational, Reputation and Strategic Risks. 6. Strong leadership and… more
- Scotiabank (New York, NY)
- …should involve compliance testing or audit. + Experience/background in compliance applicable to broker- dealer internal inspections, institutional trading & ... Manager, Compliance Testing **Requisition ID:** 206799 **Salary Range:** 85,700.00...covers US regulations applicable to all of Scotiabank's US broker- dealer (including internal inspections), banking, investment management activities, corporate… more
- Ankura (MA)
- …and growth. Our Audit Advisory Team of professionals includes several former senior officials from the PCAOB, including the Divisions of Enforcement and ... (DEI) and Registrations and Inspections (DRI). In addition, we have former senior officers from the SEC Division of Enforcement, certified public accountants,… more
- KPMG (Mclean, VA)
- **Business Title:** Director, Markets Compliance **Requisition Number:** 118215 - 97 **Function:** Advisory **Area of Interest:** **State:** VA **City:** McLean ... (https://advisory.kpmg.us/) practice. Responsibilities: + Develop frameworks and methodologies for compliance , supervisory, operational and regulatory risk-management programs + Review… more