• Simplicity Group Holdings (Durham, NC)
    …of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker - Dealer , partners with insurance and investment professionals to help ... of retirement and financial planning solutions. Simplicity Group and its wholly-owned Broker - Dealer , partners with insurance and investment professionals to help… more
    ZipRecruiter (12/31/25)
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  • United Road Services (Plymouth, MI)
    …This role requires strong knowledge of car hauling transportation and logistics operations , including working with OEMs, auctions, and dealer networks. Key ... Job Description Job Description The Account Manager is responsible for managing key customer relationships,...Act as the primary liaison between customers and third-party broker networks for effective communication and issue resolution. ·… more
    ZipRecruiter (11/11/25)
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  • New England Financial - Prudential Advisors (Bridgewater, MA)
    …process candidates will be introduced to the national financial services firm and broker - dealer designations that support this role. All business activities will ... benefit from cutting-edge software and tools designed to streamline business operations and deliver an exceptional client experience. Meet Our Leaders: Andrew… more
    ZipRecruiter (01/13/26)
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  • Trade Surveillance Manager ( Broker…

    Capital One (New York, NY)
    Trade Surveillance Manager ( Broker - Dealer & Swap Dealer ) **About the Role** We are seeking a highly skilled Trade Surveillance Manager to lead and ... **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and...worked. New York, NY: $165,700 - $189,200 for Risk Manager Candidates hired to work in other locations will… more
    Capital One (12/07/25)
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  • Manager , Broker - Dealer…

    Coinbase (Madison, WI)
    …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… more
    Coinbase (10/30/25)
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  • Broker Dealer Regulatory Governance…

    SMBC (New York, NY)
    …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
    SMBC (01/07/26)
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  • Market Risk Governance Manager

    SMBC (New York, NY)
    …management across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role ... and internal controls). - Strong understanding of regulatory requirements applicable to Swap- Dealer , Broker - Dealer , and Bank entities. Communication and… more
    SMBC (11/01/25)
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  • Manager , Compliance Testing

    Scotiabank (Dallas, TX)
    …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:** 245239 **Salary Range:**...testing or audit. * Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
    Scotiabank (12/17/25)
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  • Compliance Business Oversight Manager

    TD Bank (Charlotte, NC)
    …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
    TD Bank (01/14/26)
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  • Manager - Capital Markets Operations…

    Deloitte (Chicago, IL)
    Manager - Capital Markets Operations and Technology Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive ... any of the following Financial Services/capital markets industries: investment banking, broker - dealer , prime brokerage, wealth management, or related technology… more
    Deloitte (01/07/26)
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