• Manager - Collateral Management

    Charles Schwab (Westlake, TX)
    …liquidity and collateral requirements + Extensive experience and knowledge required in broker / dealer operations + Experienced with treasury functions ... and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for… more
    Charles Schwab (06/18/25)
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  • Manager , US Finance, Regulatory Reporting,…

    Scotiabank (New York, NY)
    …and broker -dealers, and assist in successfully executing banking and broker - dealer -related audits, regulatory matters, and strategic initiatives. + Lead and ... Manager , US Finance, Regulatory Reporting, Risk Management -...regionally and globally to develop a stronger strategy for banking/ broker - dealer audit coverage. + Maintain effective relationships… more
    Scotiabank (07/25/25)
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  • Manager , Compliance Testing

    Scotiabank (New York, NY)
    …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... Manager , Compliance Testing **Requisition ID:** 223397 **Salary Range:**...testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
    Scotiabank (05/31/25)
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  • Business Analytics Manager Senior

    PNC (Pittsburgh, PA)
    …sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad… more
    PNC (07/12/25)
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  • Investment Advisor Representative

    Atria Wealth Solutions (Vancouver, WA)
    …with non-deposit investment and insurance products as registered and licensed by a third-party broker dealer under agreement with Columbia CU. + Using only the ... broker dealer 's approved product list, provide investment...goals. + As requested and approved by the Program Manager | VP Investments and Insurance Group, conduct and/or… more
    Atria Wealth Solutions (06/04/25)
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  • GMO Market Solutions Lead - Sr Operations…

    Bank of America (Charlotte, NC)
    …Qualifications** + Recent experience in a similar role in a top tier bank / broker - dealer or product development role in a large broker / dealer ... GMO Market Solutions Lead - Sr Operations Team Lead Charlotte, North Carolina **To proceed...business. We are looking for a seasoned GMO Relationship Manager who can help build relationships with our organization's… more
    Bank of America (07/11/25)
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  • Financial Advisor

    Atria Wealth Solutions (King, NC)
    …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
    Atria Wealth Solutions (05/24/25)
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  • Wealth Relationship Manager - Divisional…

    Truist (Charlotte, NC)
    …timely field responses in a coordinated manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... Perform supervisory functions that are routinely associated with those of a retail broker / dealer . Actively engage field associates and serve as a dedicated… more
    Truist (07/08/25)
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  • Global Wealth CAO - Business Risk Intermediate…

    Citigroup (Tampa, FL)
    …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
    Citigroup (05/10/25)
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  • Sr Manager Liquidity Regulatory Reporting…

    Charles Schwab (Westlake, TX)
    …detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . * Regulatory financial reporting, and experience in treasury ... the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios...audits of liquidity practices. We are seeking a Sr. Manager LRR to enhance and streamline our operations… more
    Charles Schwab (06/18/25)
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