- 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
- Deloitte (Philadelphia, PA)
- …in a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear ... Regulatory & Financial Risk offering supports clients' regulatory and compliance needs, balancing risk and...risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk… more
- Vanguard (Malvern, PA)
- …To support its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance ... is charged with building, maintaining, and enhancing an evergreen and comprehensive compliance program for Vanguard's broker - dealer business. Working for… 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 ... areas to perform high quality, value-added projects assessing the firm's overall regulatory compliance in various business functional areas. + Assist the… more
- Lincoln Financial (Radnor, PA)
- …the implementation of new processes to incorporate new trends and/or ensure regulatory compliance . * Managing, conducting and/or participating in complex ... at a Glance** As a Senior Consultant, Fund Admin, Regulatory , you will prepare complex regulatory filings...put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of… 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
- PNC (PA)
- …The Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) ... supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. This is a remote position. Work may be performed from… 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 (Radnor, PA)
- …and assist Funds Management Legal and Compliance group, and Lincoln, with key regulatory compliance . * Assisting in all regulatory examinations of fund ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... maintaining the integrity of our financial results, supporting audit and regulatory reviews, and delivering clear, actionable insights to senior leadership. **What… more