- 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
- 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
- PNC (Pittsburgh, PA)
- …swaps products (eg, interest rate derivatives, commodity derivatives, foreign exchange) and/or broker dealer products (eg, fixed income securities). * Has ... regular basis. Some responsibilities may be performed remotely, at manager 's discretion. Preferred locations include Pittsburgh, PA & Houston,...knowledge of NFA/CFTC swap dealer requirements and/or FINRA/SEC broker … 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 (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
- Bank of America (Charlotte, NC)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... Enterprise Financial Risk Capital Risk Manager Charlotte, North Carolina;New York, New York **Job...capital management activities, including capital planning and forecasting for broker dealer and swap dealer … more
- Scotiabank (New York, NY)
- …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:** 223397 **Salary Range:**...testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales,… more
- Charles Schwab (Westlake, TX)
- …and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for ... ensuring compliance at all times, and escalating issues to senior management as necessary. We work with internal and...build robust analytics to support collateral pledging activities + Broker dealer subject matter expert for items… more
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