- Vanguard (Malvern, PA)
- Broker / Dealer National Accounts, Product and Platform Partnerships: + Interacts with the product and research teams at national broker /dealers to understand ... and/or registration (eg FINRA, state, SFC). These will be determined by Compliance based on role-specific duties. Special Factors Sponsorship Vanguard is offering… more
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior ... and objective assurance activity designed to improve the organization's operations and compliance with key regulations by evaluating and improving the efficiency of… more
- Guardian Life (New York, NY)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... processes, and technology + Collaborate with various internal departments including compliance , licensing, operations, and our internal clearing firm **You have** +… more
- Robert Half Management Resources (Dallas, TX)
- …operational effectiveness. Requirements * 10-15 years of experience in internal audit, compliance , or broker - dealer operations. * Extensive knowledge of ... to lead and develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building audit frameworks that… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …every interaction, ensuring outstanding member experience. Adhere to all regulatory, broker - dealer , and institutional compliance standards-upholding the ... inspire confidence and build lasting relationships. Proficiency in Microsoft Office and broker - dealer platforms. Why You'll Love It Here You'll work alongside a… more
- Marex (New York, NY)
- …and maintenance of client static data in order to improve efficiencies and Compliance reporting. + Ensuring compliance with the company's regulatory requirements ... responsibility + To report any breaches of policy to Compliance and/ or your supervisor as required + To...a regulated environment and knowledge of the risk and compliance requirements associated with this. + Bachelor's degree preferred.… more
- Thrivent Financial (Minneapolis, MN)
- …Resolve escalated customer cases, situations and inquiries. + Partner with legal and compliance to conduct operations in compliance with pertinent laws and ... regulations. + Participate in, represent and/or lead divisional / departmental projects or operational improvements that improve operational unit performance. + Recruits, develops, and sustains a high-performing team while promoting a culture of shared… more
- Wells Fargo (Rochester, NY)
- …priorities + 2+ years of financial services industry experience + Experience in compliance or broker - dealer governance **Job Expectations:** + US only: ... statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing… more
- Santander US (Miami, FL)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... controls to mitigate such risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg. * In depth knowledge… more
- Guardian Life (Bethlehem, PA)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, experience at ... standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the… more