- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Manager , you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- Charles Schwab (Southlake, TX)
- …role with no direct reports. The primary role of the SVI Investigations Senior Manager is to investigate incidents of potential elder financial exploitation ... firm policies and applicable regulations. What You'll Do: The Senior Manager will report to the SVI...plus (but not required). + Experience with a securities broker - dealer is a plus (but not required).… more
- Charles Schwab (Westlake, TX)
- …Our Compliance Reporting, Communications and Policy (CRCP) team is looking for a Senior Manager for the Compliance reporting and governance (CORE) team, ... has evolved to include multiple regulated entities, including its broker - dealer , investment advisors, bank and trust companies,...Sr. Manager People Leader- Compliance Reporting. The Senior Manager will deliver clear, concise, and… more
- Charles Schwab (Westlake, TX)
- …regulatory and industry environment. As the Retail Supervision & Risk Management (RSRM) Policy Senior Manager , you will play a pivotal role in shaping and ... Advisers (RIAs), preferably in retail financial services. + Significant experience with broker - dealer and advisory rules and regulations. + In-depth knowledge of… more
- Charles Schwab (Westlake, TX)
- …and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for ... ensuring compliance at all times, and escalating issues to senior management as necessary. We work with internal and...build robust analytics to support collateral pledging activities + Broker dealer subject matter expert for items… more
- Charles Schwab (Westlake, TX)
- …detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . * Regulatory financial reporting, and experience in treasury ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Charles Schwab (Westlake, TX)
- …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Atria Wealth Solutions (Fort Worth, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... in the country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the… more
- PNC (Dallas, TX)
- …company's success. As a Business Systems Analyst within PNC's Technology Capital Markets / Broker Dealer organization, you will be based in Pittsburgh, PA; ... a regular basis. Some responsibilities may be performed remotely, at the manager 's discretion. **PNC will not provide sponsorship for employment visas or participate… more
- Lincoln Financial (Austin, TX)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... for assigned area(s) of responsibility, assesses the impact, and collaborates with senior management to incorporate current trends and developments in current and… more