- Vanguard (Charlotte, NC)
- …a seasoned compliance professional to lead monitoring and testing for our broker -dealer's Cash program, which includes banking-like features such as deposits, money ... senior compliance leadership. + Provides compliance guidance and advisory support to business units, helping to mitigate risk and...actions to closure. + Maintains deep knowledge of the investment and financial services industry, with a focus on… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you'll serve as ... process: review, research, documentation, escalation, and remediation of each incident. + Support and advocate for the privacy strategy and mission especially the… more
- Guardian Life (Bethlehem, PA)
- The Operations Specialist will serve as an SME on all aspects of our managed account model management, trading platform, annuity operations as well as all associated ... custody, clearance, and order execution processing. The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet,… more
- BMO Financial Group (New York, NY)
- …not limited to, fixed income, equities, electronic trading, prime brokerage, and investment banking. The broker -dealer CCO: + Improves team performance, ... is hiring for a CCO of it's two US broker -dealer entities in New York, BMO Capital Markets Corp...NYSE + Knowledge of FICC, equities, prime brokerage, and investment banking services and regulatory requirements. + Serves as… more
- Charles Schwab (Westlake, TX)
- …-Dealer/Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist ). The Broker -Dealer/Asset Management team provides internal audit ... and compliance functions for Schwab's registered domestic and international broker -dealers and registered retail and institutional investment advisors.… more
- JPMorgan Chase (New York, NY)
- …the risk spectrum and capital stack. **Job Summary** As the Executive Director, Investment Specialist on the Real Estate Americas client strategy team, you ... to proactively position our real estate solutions through RIA's and our broker -dealer partners. + Develop and implement a comprehensive sales strategy that aligns… more
- CalSTRS (Sacramento, CA)
- …include buyouts, growth equity, debt-related and venture capital. External advisors support the program by providing investment selection advice, research ... high degree of independence and serve as a high-level specialist to provide investment expertise in co-...Branch, you will be required to disclose your personal broker account information and be required to utilize a… more
- CIBC (New York, NY)
- …through the US broker -dealer, CIBC World Markets Corp., but may also support other affiliated entities within the company including, but not limited to, the ... **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of the US Compliance… more
- Wells Fargo (Charlotte, NC)
- …Wells Fargo is seeking a Senior Compliance Specialist in Corporate and Investment Banking (CIB) Compliance to support various topics within the Cross Asset ... Team. The Senior Compliance Specialist will be responsible for managing topics across regions...communication skills + 1+ years of experience working with Broker Dealers, and associated regulators (eg, investment … more
- Cushman & Wakefield (Irvine, CA)
- **Job Title** Brokerage Specialist **Job Description Summary** We are seeking a Brokerage Specialist to support a market leading team of Brokers at a top ... team and client Provide sales, marketing and transaction support Customer support relationship management in partnership with Broker (s) Support … more