- Vanguard (Scottsdale, AZ)
- …is responsible for ensuring regulatory compliance and operational integrity across broker - dealer cash management functions. It involves translating complex ... across payment systems and card operations. + Demonstrate strong understanding of broker - dealer cash management accounts and related regulations (eg, Reg E,… more
- Robert Half Legal (Dallas, TX)
- …across the organization. * Support stakeholders by drafting, reviewing, and revising broker - dealer compliance policies and procedures. * Provide expertise in ... broker - dealer compliance, leveraging industry knowledge to maintain standards and address challenges. Requirements * Proven experience in compliance monitoring… more
- MUFG (New York, NY)
- …as the technical bridge between operations and the technology that powers our broker - dealer settlement engine. This role requires deep expertise in trade flows, ... or a related field. * 8+ years of progressive experience in broker - dealer back office, financial technology, or equivalent financial operations roles.… more
- Scotiabank (Dallas, TX)
- …tests to ensure adequate controls over finance functions (eg, banking & broker - dealer activities/reporting) and validate source documents. + Maintain a thorough ... of appropriate audit plans/activities for assigned areas (eg, banking & broker - dealer regulatory reporting, financial reporting, product control, human… more
- PNC (Pittsburgh, PA)
- …all geographic locations. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad knowledge and… more
- Athene (West Des Moines, IA)
- …responsible for leading and developing a team of Internal Wholesalers within the Broker Dealer distribution channel. This role oversees daily sales activities, ... department. + Is a key partner with the Divisional Vice President, Broker Dealer Channel in ensuring internal and external wholesaler partnerships are working… more
- JPMorgan Chase (Jersey City, NJ)
- …and ongoing supervisory engagements. You will collaborate with senior leaders across the Broker Dealer , Futures Commission Merchant, Swap Dealer and Security ... financial institution or regulator, consulting or legal firm + Experience in Broker Dealer , FCM, Swap Dealer , Control Management, Compliance, Audit, and/or… more
- Guardian Life (Bethlehem, PA)
- …standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the ... familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, experience at an… more
- Zions Bancorporation (Salt Lake City, UT)
- …to the non-bank divisions of Zions Bancorporation including but not limited to Broker Dealer , Capital Markets and Public Finance groups. **Responsibilities** The ... Manager will lead and oversee the firm's compliance programs for its FINRA-registered broker - dealer , bank broker dealer , and capital markets activities.… more
- Aegon Asset Management (Denver, CO)
- …to support the sale of Transamerica products. Manages relationships with broker - dealer through proactive and thoughtful sales planning. Job Description ... the products, services and positioning messages of Transamerica and convey to broker - dealer firms. + Foster relationships with key account relationship managers… more