- Capital One (Mclean, VA)
- Center 1 (19052), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior ... Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker … more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director ... will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker -dealers and provide … more
- Scotiabank (New York, NY)
- Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note ... future! **Purpose:** Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions Compliance , The role will lead and… more
- City National Bank (Los Angeles, CA)
- …+ Bachelor's Degree or equivalent + Minimum of 5 years of experience in Brokerage Operations, Broker Dealer Compliance , and Client Support for Broker ... **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with… more
- Truist (Richmond, VA)
- …levels of management **Preferred Qualifications:** + Series 7 & 24 registered + Demonstrated Broker Dealer compliance experience + Proven compliance ... and directing compliance risk oversight of assigned business units ( Broker Dealer ) and/or functions. Leads and executes compliance risk management… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and regulations and… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... with project management skills + 10+ years of regulatory and/or advisory compliance experience at a broker dealer . BA/BS required. Series 7, 24, 79 a plus.… more
- Charles Schwab (Westlake, TX)
- … professional to join the team as a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though ... years of experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment advisory businesses,… more
- Atria Wealth Solutions (San Diego, CA)
- …of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations. + 3+ ... institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and… more
- Truist (Dallas, TX)
- …Marine and RV Senior Management. 8. Closely monitor dealer and broker relationships to ensure compliance with policies and procedures regarding establishment ... lending in designated geographic areas nationwide. Maximize loan production volume from existing dealer and broker clients with focus on Bank's guidelines for… more
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is an independent...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- Guardian Life (New York, NY)
- …for the overall compliance framework for PAS as a dually registered broker - dealer and investment adviser. The incumbent will lead the implementation and ... regulatory requirements. Candidates must have a broad knowledge of US broker - dealer and investment advisory compliance , regulated business environments and… more
- Citizens (Westwood, MA)
- …electronic communication recordkeeping/supervision solutions. . Qualifications: + 5+ years of broker dealer /investment advisor compliance experience + Strong ... career with exciting new challenges and opportunities to stretch yourself. The Compliance Associate is responsible for working within Citizens Securities, Inc.'s … more
- Truist (New York, NY)
- …Qualifications:** 1. MBA degree 2. Trade, as well as Regulator or institutional broker dealer compliance experience preferred. **General Description of ... within CIB. The team performs trade surveillance activities, working with traders, compliance , and other risk functions to review trade surveillance alerts and… more
- Federal Reserve System (Dallas, TX)
- …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + Strong ... Advanced abilities to apply and explain complex regulatory concepts relating to broker dealer /advisory services activities. + Capacity to pursue multiple… more
- Charles Schwab (Westlake, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- Charles Schwab (Phoenix, AZ)
- …the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit ... responsible for executing application reviews in business integrated audits. The Broker - Dealer /Asset Management team provides internal audit coverage of the… more
- Robert Half Finance & Accounting (New York, NY)
- …Half Financial 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 1+ years of Public/Private Accounting experience with Banking or Broker Dealer industry knowledge. The role reports directly into the Senior Accounting… more
- JPMorgan Chase (New York, NY)
- …quantitative, financial and risk management techniques & systems preferred + Experience in Broker Dealer products such as Prime Brokerage, Margin loans, client ... to JPMorgan Chase. As part of Risk Management and Compliance , you are at the center of keeping JPMorgan...respect to potential liquidity risk implications within the firm's broker - dealer business. You will continuously assess emerging… more
- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its legal entity control division in ... financial information with a key focus on control and compliance and addressing new requirements, including new reporting alongside...Series 27 preferred but not required. Working knowledge of broker - dealer regulatory environment is a must. +… more
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