- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will ... be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker -dealers and provide compliance support to… more
- Federal Reserve System (Dallas, TX)
- …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + Strong ... Advanced abilities to apply and explain complex regulatory concepts relating to broker dealer /advisory services activities. + Capacity to pursue multiple… more
- Capital One (Mclean, VA)
- Center 1 (19052), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager ... will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and… more
- City National Bank (Los Angeles, CA)
- **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS THE OPPORTUNITY?** Colleague is responsible for assisting CNS Branch Manager with daily ... supervision of Broker Dealer and Investment Advisory activity. Responsible for reviewing and approving new account documentation, trade blotters, written and… more
- Charles Schwab (Phoenix, AZ)
- …the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit ... responsible for executing application reviews in business integrated audits. The Broker - Dealer /Asset Management team provides internal audit coverage of the… more
- Scotiabank (New York, NY)
- Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note ... every future! **Purpose:** Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions Compliance, The role will lead and… more
- Robert Half Finance & Accounting (New York, NY)
- …Half Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. Our client requires a CPA ... and 1+ years of Public/Private Accounting experience with Banking or Broker Dealer industry knowledge. The role reports directly into the Senior Accounting… more
- TD Bank (New York, NY)
- …this role **Job Description:** **Preferred Qualifications:** TD Securities is looking for a broker - dealer accountant to join its legal entity control division in ... + FINRA Series 27 preferred but not required. Working knowledge of broker - dealer regulatory environment is a must. + Understanding of Fixed Income/Equity… more
- Charles Schwab (Westlake, TX)
- …team as a Senior Manager to conduct risk-based compliance testing within our Broker - Dealer and Investment Adviser programs. Though this is an Individual ... years of experience within financial services with a general understanding of broker - dealer , financial holding company, bank, and investment advisory businesses,… more
- Moss Adams LLP (Pasadena, CA)
- **Tax Senior Manager - Asset Management, Broker Dealer ** **Description** At Moss Adams, we champion authenticity. For us, that means fostering a culture of ... + CPA or Bar License required Proven industry experience in Asset Management, Broker Dealer + Minimum of 4 years supervising and training experience + Subject… more
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