- Charles Schwab (Lone Tree, CO)
- …Schwab Corporation and related subsidiaries. Within the Corporate Controller's Department, Broker - Dealer Accounting is responsible for maintaining the income ... recognizing, analyzing, and explaining the various income streams of the broker - dealer . Since Schwab's revenue model is highly complex and dependent on… more
- PNC (Pittsburgh, PA)
- …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...a governance role. Certifications such as the Certified Anti-Money Specialist (CAMS) and or other recognized programs are a… more
- PNC (Pittsburgh, PA)
- …and have an opportunity to contribute to the company's success. As an Accounting Specialist Senior within PNC's Capital Markets Finance organization, you will be ... at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business for… more
- PNC (Pittsburgh, PA)
- …have an opportunity to contribute to the company's success. As a Compliance Program Specialist Senior , you will be within PNC's Risk, Change, Experience & ... once a week. In addition to the job description below, the Compliance Program Specialist Senior will also be responsible for the following: * Coordinating… more
- Charles Schwab (Lone Tree, CO)
- …clients comfort to invest their assets with Schwab. The SCO is looking for a Senior Specialist to support the Information Technology (IT) portions of the ICFR ... and ICOC Assessments. This Senior Specialist will be accountable for the...Responsibility Rule requirements **What you'll:** + Gain exposure to broker - dealer , bank, and corporate processes through robust… more
- Wells Fargo (Bloomington, IL)
- **About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment ... are in adherence with regulatory, compliance and legal requirements. The Senior Supervisory Control Specialist understands the complexity, partnership needs… more
- Edward Jones (Tempe, AZ)
- …in the here and now. **Job Overview** **Position Schedule:** Full-Time The Trade Report Specialist is one of two on the Trade Reporting team responsible for the ... include the reconciliation of "not-affirmed" client trade reports, unmatched inter- dealer trade reports, exception time differences, questionable trade reports and… more
- Broadridge Financial Solutions (Newark, NJ)
- …systems + Must have experience with DTC Corp Actions processing functions and broker dealer operations + Knowledge of BPS settlement systems is preferred ... the Broadridge team. Broadridge is hiring! Were seeking a Corporate Actions Operations Specialist to join our dynamic team for a contract opportunity. In this role,… more
- SMBC (New York, NY)
- …withstand regulatory scrutiny + Experiences and knowledge in funding markets and broker / dealer business; deep understanding of secured financing transactions and ... Manage the positions under the CUSO daily liquidity metrics for distribution to senior management and regulators, and articulate results of SMBC liquidity metrics to… more
- Charles Schwab (Westlake, TX)
- …and internal controls. The Corporate internal audit enterprise team is seeking a Senior Auditor ( Senior Specialist ). The Corporate team is responsible ... years of financial services-related audit experience with growing responsibility. Corporate, Broker Dealer , Bank Operations, or Regulatory Compliance (including… more
- BMO Financial Group (New York, NY)
- …Equity settlements operations or middle office experience with strong understanding of broker / dealer operations. Prime brokerage Operations Experience is a plus ... and will involve working directly with clients, CES's clearing broker , the business group, and other internal teams. The...Operates at a group/enterprise-wide level and serves as a specialist resource to senior leaders and stakeholders.… 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 ... in their practices. We are looking for an Account Specialist to join our amazing tech team. To achieve...testing functions, etc. + Function as a liaison with senior compliance functional leads to facilitate collaboration across the… more