- 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, ... talent; we bring the opportunity. **We are currently seeking a** **Risk and Compliance Testing Officer** **within the Market, Liquidity, Wealth Risk & Compliance … 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $145,000 - $185,000 USD TD is...specific details for this role. **Job Description:** This VP, Compliance is a key member of the TDS US… more
- Vanguard (Malvern, PA)
- …and dynamic team that performs Treasury Functions consisting of moving and reconciling broker dealer cash activity. The VMC Treasury Liaison will perform the ... into and withdrawals from the special reserve account in compliance with SEC rule 15c3-3 (Customer Protection Rule). VMC...reserve computations. + Working knowledge of BetaNeXT and the broker dealer stock record/ + Working knowledge… more
- Vanguard (Scottsdale, AZ)
- …for our Cash Plus product. This role is responsible for ensuring regulatory compliance and operational integrity across broker - dealer cash management ... across payment systems and card operations. + Demonstrate strong understanding of broker - dealer cash management accounts and related regulations (eg, Reg E,… 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 ... New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair… 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, ... or the department. + Is a key partner with the Divisional Vice President, Broker Dealer Channel in ensuring internal and external wholesaler partnerships are… more
- TD Bank (Mount Laurel, NJ)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and ... more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?**...Overview:** **Why Work with Us?** At TD Bank US Compliance , we're on a mission to build a more… more
- MUFG (Irving, TX)
- …5-7 years of Compliance and Control Room experience required + FINRA Broker Dealer experience + Strong knowledge of financial markets, investment banking, ... of interest. The position shall be responsible to ensure that an effective compliance program is developed and maintained to address compliance with applicable… more
- Equitable (Philadelphia, PA)
- …/ knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer . + Self-Starter, Strong organizational, analytical, investigative / auditing ... Regional Compliance Manager ( 250000LL ) **Primary Location** :...unlock your potential? This role is responsible for providing compliance support to Equitable' s branch locations both regionally… more
- PNC (Cleveland, OH)
- …Senior preference would be to have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses are preferred or willingness to ... and have an opportunity to contribute to the company's success. As a Compliance Program Specialist Senior, within PNC's Retail Organization, you will be supporting… more