- Charles Schwab (Westlake, TX)
- …**What you have** + 10+ years of experience as a leader within a broker dealer , financial services intermediary, and/or custodian + Demonstrated experience in ... and strategy for Retail SMAs, working on both long-term plans and daily operations . This includes making our offerings more modern and competitive, while aligning… more
- Lincoln Financial (Juneau, AK)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... assurance and consultative services that add value and improve organizational operations by evaluating risk management, control, and governance processes. The Audit… more
- TD Bank (Mount Laurel, NJ)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations ... of TD's US intraday liquidity and collateral monitoring across combined US operations . Duties include analysis of TD's liquidity and collateral positions and… more
- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... policies and plans. + Partner with cross-functional teams, including actuarial, finance, operations , and legal to execute deals and leads the transition from deals… more
- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... technology. * Conducts complex risk analysis to identify critical operations and systems that are core to continued business... and systems that are core to continued business operations in the event of a disruption. * Collaborates… more
- Lincoln Financial (Denver, CO)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... and malicious activities. + Maintain expertise in Operating Systems (Windows/Linux) operations and artifacts to assist in investigations. + Ability to analyze… more
- City National Bank (Los Angeles, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... coordinate end-to-end regulatory activity within CNB and the broader Combined US Operations ("CUSO") from receipt of first day letter through remediation and… more
- City National Bank (Los Angeles, CA)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more
- TD Bank (Boston, MA)
- …to travel 50% of time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... and Operational concerns + Manages all trade corrections in cooperation with Operations , Compliance and WMLs, + Reviews and approves Outside Business Activities in… more
- Vanguard (Scottsdale, AZ)
- …guidance to mitigate compliance risk while elevating a supervisory program for the broker dealer . Regulatory, compliance, and business acumen are necessary for ... as an expert on compliance programs and regulatory matters relevant to business operations . + Participates in special projects and performs other duties as assigned.… more