- Charles Schwab (Lone Tree, CO)
- …administering, enhancing, and maintaining the Compliance Program for the Charles Schwab & Co Broker - Dealer , also known as CS&Co. CS&Co stands as one of the ... as well as all other tasks that support the CCO in leading the broker - dealer landscape. There will be particular focus on the regulatory obligations of FINRA… more
- BMO Financial Group (New York, NY)
- …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance… more
- Charles Schwab (Westlake, TX)
- …5-7+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience and/or Big 4 Accounting ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit… more
- Charles Schwab (Austin, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal department. This… more
- 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, ... of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and… more
- Robert Half Finance & Accounting (New York, NY)
- …Robert Half Financial Services is recruiting for a Compliance role for an International Broker Dealer firm located in midtown Manhattan, New York. Our client ... requires 4+ years of Compliance experience at a Broker Dealer or an RIA, with knowledge of FINRA Regulations/Filings, policies/procedures, personal trading… more
- Vanguard (Scottsdale, AZ)
- Broker Dealer EDJ Hybrid Sales Executive Generates new relationships and broadens existing relationships with distributors, advisors, and other intermediaries in ... the Broker Dealer channel through predominantly electronic and telephone communication (75-80%) as well as some field sales activity (20-25%) for medium to high… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations and… more
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