- Vanguard (Scottsdale, AZ)
- …and inspires a high-performing team of hybrid sales professionals within Vanguard's dynamic Broker Dealer channel, fueling growth and innovation for a key, ... rapidly evolving broker - dealer partner. This team thrives on building meaningful advisor relationships through strategic, insight-driven engagement-strengthening… more
- Charles Schwab (Lone Tree, CO)
- …and back office operational functions. Reporting to a Director or Senior Manager in the Broker - Dealer /Asset Management enterprise team, the Senior ... processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior...draft audit observations for review by the Internal Audit Manager / Senior Manager (and above levels)… more
- BMO Financial Group (New York, NY)
- Our ideal candidate has FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker ... help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we'll help you gain valuable experience,… more
- Citigroup (Tampa, FL)
- The current opening is for a candidate to join the CRO team of Citi's US Broker Dealer legal entity. The objective of the role is to support the CRO across ... various aspects in managing the US Broker Dealer and its related activities as...appropriate. + Enhance controls and assessments captured in the Manager 's Control Assessment + Candidate will need to work… more
- Huntington National Bank (Columbus, OH)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... also provide a high level of visibility to various members of senior management across the organization. Primary Responsibilities: + Support accounting department in… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Manager , you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- Charles Schwab (Southlake, TX)
- …role with no direct reports. The primary role of the SVI Investigations Senior Manager is to investigate incidents of potential elder financial exploitation ... firm policies and applicable regulations. What You'll Do: The Senior Manager will report to the SVI...plus (but not required). + Experience with a securities broker - dealer is a plus (but not required).… more
- Charles Schwab (Westlake, TX)
- …Our Compliance Reporting, Communications and Policy (CRCP) team is looking for a Senior Manager for the Compliance reporting and governance (CORE) team, ... has evolved to include multiple regulated entities, including its broker - dealer , investment advisors, bank and trust companies,...Sr. Manager People Leader- Compliance Reporting. The Senior Manager will deliver clear, concise, and… more
- Charles Schwab (Westlake, TX)
- …regulatory and industry environment. As the Retail Supervision & Risk Management (RSRM) Policy Senior Manager , you will play a pivotal role in shaping and ... Advisers (RIAs), preferably in retail financial services. + Significant experience with broker - dealer and advisory rules and regulations. + In-depth knowledge of… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... OTC Markets Group Inc VP, Customer Success Manager - Corporate Services OTC Markets Group -...Alternative Trading Systems (ATSs) provide critical market infrastructure that broker -dealers rely on to facilitate trading. Our innovative model… more