- Charles Schwab (Lone Tree, CO)
- …optimization across three banks, an off-balance sheet sweep deposit portfolio, and a broker dealer . The Senior Manager will develop strategy and analysis for ... PRM, preferred . Experience managing the risks associated with a combined broker - dealer and bank(s) balance sheet business model . Successful history of building… more
- Vanguard (Malvern, PA)
- …leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness, risk management, ... client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA, OCC) and overseeing numerous… more
- Principal Financial Group (Washington, DC)
- …in growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, ... growing market share + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and interact effectively with clients in various roles at the RIA or broker dealer , including executive management. + Constructively work under stress and ... process, and business structure of independent registered investment advisors and introducing broker dealers. + Working knowledge of account types and experience in… more
- BMO Financial Group (New York, NY)
- …Compliance ("FICC") team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... Functional knowledge of multiple FICC market activities including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more
- Zions Bancorporation (Salt Lake City, UT)
- …business lines and products may include the Company's Capital Markets division, Bank Dealer , Broker / Dealer , Trust Divisions, Municipal Advisors and Finance, ... Wealth Management Activities, Registered Investment Advisors, Insurance Agency, departments offering investment products and derivatives (eg, swaps, forwards, etc.), and others as needed. Not only will the MLW Risk and Compliance Testing Officer be responsible… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful… more
- CIBC (New York, NY)
- …You'll Succeed** + Supervise and conduct surveillance of the US registered broker - dealer securities trading products, as well as OTC derivative/swap trading ... handling securities and OTC derivative/swap compliance issues gained at an investment dealer , regulator or marketplace + Knowledge of SEC/FINRA/CFTC/NFA and other US… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... associated regulator. + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... associated regulator. + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm… more