- MUFG (Tempe, AZ)
- …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... Strong knowledge of Operational Risk Management Programs and frameworks including (but not limited to): RCSA, Loss data, Products and Services, Scenario Analysis, KRM/KRI and Issue Management). + Significant experience managing complex and dynamic Third-Party… more
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $70,000 - $120,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... instruments, investment vehicles and capabilities, including alternative investments such as real assets, private equity, private credits, etc. + Experience with using data analytics and large language model, as well as champion a culture of innovation +… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... SEC, FINRA, CFTC, NFA, or Exchange Market Surveillance department) is highly desired. + In-depth knowledge of trade and communications surveillance tools and vendors, for detecting market abuse and manipulation. + Product knowledge of FX, exchange traded… more
- Vanguard (Malvern, PA)
- …of intermediary distribution models for investment products and services, including broker - dealer and RIA aggregator relationships, platform access, omnibus ... arrangements, and related compensation structures is a plus. Special Factors Sponsorship Vanguard is not offering visa sponsorship for this position. About Vanguard At Vanguard, we don't just have a mission-we're on a mission. To work for the long-term… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... skills, with the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex and sensitive issues to senior management **Preferred qualifications, capabilities and skills** + CPA, CIA, and/or… more
- Guardian Life (Tallahassee, FL)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- Truist (Nashville, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... supervisory functions mainly focus on the review and acceptance of new accounts introduced to the firm, money movement and trade corrections. Responsible for following regulatory policy as a Registered Principal for the firm. **Essential Duties and… more
- Aegon Asset Management (Cedar Rapids, IA)
- …Power . Preferred Qualifications: + Professional experience with a retail Broker - Dealer and/or Insurance/Annuity distribution organization + Product knowledge ... for retail individual investors in mutual funds, life insurance, variable annuities, separately managed accounts and familiar with client suitability + Knowledgeable in GAAP / IFRS Accounting treatment + Direct experience in driver based financial modeling of… more
- Vanguard (Malvern, PA)
- …on providing interpretative advice under the Securities Act of 1933 and 1934, FINRA broker - dealer regulation, ERISA, and the Investment Company Act of 1940. + ... Commercial mindset and strong negotiation skills required. Special Factors Sponsorship Vanguard is not offering visa sponsorship for this position. About Vanguard At Vanguard, we don't just have a mission-we're on a mission. To work for the long-term financial… more