- Charles Schwab (Lone Tree, CO)
- …Support the transformation of reporting into a strategic tool for optimizing bank and broker dealer functions. **What you have** + 5+ years relevant experience ... to detail: the ability to make accurate evaluative judgments and ensure compliance with internal and regulatory requirements. + Bachelor's degree required. **What's… more
- New York State Civil Service (Albany, NY)
- …reports for review by the unit Manager.Assist in the evaluation of broker - dealer and other service provider performance.Assist with the development and ... special calculations and drafting year-end journal entries.Assist in ensuring compliance with federal and State laws, financial standards/practices, and Authority… more
- BMO Financial Group (New York, NY)
- Member of the broker / dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed ... Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury activity. + Preparation… more
- The Hartford (Wayne, PA)
- …in the territory + A demonstrated track record of success in the assigned broker dealer firms + Additional industry designations (ie, CIMA, CFA) Compensation The ... and participate in various conferences and meetings + Adhere to all compliance regulations and guidelines including use of approved marketing materials, fund… more
- Raymond James Financial, Inc. (Memphis, TN)
- …selecting fixed income products. + Basic use of portfolio analytical tools + Broker / dealer operations. **Skill in** + Interpreting and applying policies and ... appropriate fixed income investment strategies for each client while ensuring compliance with all applicable internal and external policies of regulations. +… more
- Ankura (New York, NY)
- …root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent ... process, from case assessment through expert testimony, as well as compliance verification services following resolution of the matter. More specifically these… more
- First Horizon Bank (Memphis, TN)
- …completion within 12 months) + Minimum 5 - 10 years of experience in broker - dealer , public accounting or other professional accounting role + Strong knowledge of ... Financial employees to manage the company's financial reporting processes and ensure compliance with SEC and FINRA regulations. This position is responsible for… more
- JPMorgan Chase (Chicago, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... and skills** + Bachelor's Degree preferred + Experience as a Supervisory or Compliance professional preferred + Possess an advanced knowledge of FINRA, MSRB and SEC… more
- Insight Global (San Francisco, CA)
- …by booking high-quality meetings with financial advisors and decision-makers across RIAs and broker - dealer networks. This is a purely outbound role where you'll ... that's purpose-built for financial professionals and designed to meet strict compliance standards. You'll work closely with Account Executives to ensure smooth… more
- CGI Technologies and Solutions, Inc. (Jersey City, NJ)
- …role:** . 10+ years' experience in the capital markets financial industry (Bank/FBO/ Broker Dealer ). . Extensive experience with Adenza/Axiom Controller View ... to apply for a job in the US, please email the CGI US Employment Compliance mailbox at US_Employment_###@cgi.com . You will need to reference the Position ID of the… more