- Vanguard (Malvern, PA)
- …To support its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance ... with building, maintaining, and enhancing an evergreen and comprehensive compliance program for Vanguard's broker - dealer ...evergreen and comprehensive compliance program for Vanguard's broker - dealer business. Working for the Chief … more
- PNC (Pittsburgh, PA)
- … Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in ... efficiently to get things done **Job Description** + Manages financial, compliance , and/or operational audit reviews, including the evaluation of design and… more
- Guardian Life (Bethlehem, PA)
- …clients' requests. + Collaborate with various internal departments including Compliance , licensing, operations, internal clearing firm, and 3rd Party ... Sponsors/Envestnet + Be responsible for the day-to-day managed account operations, escalations, and resolution of issues - working with internal team to process all items within queues daily. **You have** + 3 or more years of extensive industry experience +… more
- Guardian Life (Bethlehem, PA)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, experience at ... standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the… more
- Guardian Life (Harrisburg, PA)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- Vanguard (Malvern, PA)
- …and dynamic team that performs Treasury Functions consisting of moving and reconciling broker dealer cash activity. The VMC Treasury Liaison will perform the ... into and withdrawals from the special reserve account in compliance with SEC rule 15c3-3 (Customer Protection Rule). VMC...reserve computations. + Working knowledge of BetaNeXT and the broker dealer stock record/ + Working knowledge… more
- PNC (PA)
- … Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are ... opportunity to contribute to the company's success. As a Compliance Program Advisor, you will be within PNC's Retail...Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may… more
- Lincoln Financial (Harrisburg, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **The Role at a Glance** We are excited to bring on an accomplished ** Compliance Consultant** to our Retirement Plan Services/Product team to work in our Fort Wayne… more
- Lincoln Financial (Harrisburg, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure… more
- Lincoln Financial (Harrisburg, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... 74829 **The Role at a Glance** We are excited to be hiring a **Manager, Compliance testing team** role in our Retirement Plan Services business line in our Fort… more