- 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 ... Description We are looking for an experienced Internal Audit Manager to lead and develop the internal audit function...develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building… 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)
- …**Job Description:** Our TD Securities Compliance team is seeking a VP Compliance Manager for the brand new Trade Surveillance Quality Assurance team to ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $150,000 - $185,000 USD TD is...at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at… more
- Equitable (Philadelphia, PA)
- Regional Compliance Manager ( 250000LL ) **Primary Location** : UNITED STATES-PA-Philadelphia **Other Locations** : UNITED STATES-MA-Boston, UNITED ... / knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer . + Self-Starter, Strong organizational, analytical, investigative / auditing… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …enhancements to improve efficiency and oversight. Qualifications 7+ years of relevant compliance experience; prior institutional broker - dealer experience is ... Description Compliance Manager Are you an experienced compliance professional ready to lead and enhance compliance programs in the financial services… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Guardian Life (Nashville, TN)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 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:** $180,000 - $225,000 USD TD is committed to providing fair… more
- Charles Schwab (Lone Tree, CO)
- …applications; . Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; . Advanced skills in Excel; . Knowledge of Python or ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the… more
- 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. + ... opportunity to serve you. + Completion of all required compliance training to include BSA. + Meet or exceed...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more