- Charles Schwab (Westlake, TX)
- …Extensive experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital ... be in the office 4 days a week. The ** Manager of Treasury Settlement Services** (TSS) is primarily responsible...in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness… more
- BMO Financial Group (New York, NY)
- …Compliance ("FICC") team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... and fiduciary obligations are met. You will have a specific focus on compliance oversight over BMO's Fixed Income activities, and maintain current knowledge of… more
- 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...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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 ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Wells Fargo (Asheville, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... role:** Wells Fargo is seeking a Branch Complex Senior Manager in Wealth and Investment Management as part of...all centers of excellence (COE) and support partners; managing risk/ compliance ; expense / P&L management; and exception management +… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- TD Bank (Mount Laurel, NJ)
- …and Experience below as you consider this opportunity.** **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a ... regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and… more
- Wells Fargo (Raleigh, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of...team, and Client Associates in various aspects of operations, compliance , and technology + Collaborate with the Brokerage Support… more
- City National Bank (New York, NY)
- …and other regulatory affairs. * For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM). * For Wealth Management Compliance roles, ... * COMPLIANCE ANALYST* *WHAT IS THE OPPORTUNITY?* The ...experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For… more