- Coinbase (Madison, WI)
- …in you (ie. job requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in a fast-paced environment ... 15c3-5 Market Access, Best Execution and CAT reporting. * Experience setting up broker - dealer compliance programs, or at least parts of programs. *… more
- 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 ... trade surveillance, market regulation, or At least 5 years Compliance experience within a Broker - Dealer ...worked. New York, NY: $159,400 - $181,900 for Risk Manager Candidates hired to work in other locations will… more
- SMBC (New York, NY)
- …issues until resolved. + Must be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer ... time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory… more
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior ... management, system interfaces, and data processing. Reporting to a Director or Senior Manager of the BDAM Application Controls team, the Senior IT Auditor will have… more
- Guardian Life (Bethlehem, PA)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... internal partners on various functions including advisor as portfolio manager , multi-account/strategy proposals, and trading methodologies + Proactively and… more
- T. Rowe Price (Owings Mills, MD)
- …a difference in ways that matter to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is responsible for ensuring ... of mutual funds, exchange traded funds, private placement agent activities, dealer / manager of business development company, and introducing broker / dealer … more
- Zions Bancorporation (Salt Lake City, UT)
- …practices. The Compliance Manager will lead and oversee the firm's compliance programs for its FINRA-registered broker - dealer , bank broker ... the opportunity. **We are currently seeking a** **Risk and Compliance Manager ** **within the Market, Liquidity, Wealth...divisions of Zions Bancorporation including but not limited to Broker Dealer , Capital Markets and Public Finance… more
- SMBC (New York, NY)
- …issue 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
- Robert Half Management Resources (Dallas, TX)
- …operational effectiveness. Requirements * 10-15 years of experience in internal audit, compliance , or broker - dealer operations. * Extensive knowledge of ... Description We are looking for an experienced Internal Audit Manager to lead and develop the internal audit function...develop the internal audit function for a dynamic clearing broker - dealer organization. This strategic role involves building… more
- Vanguard (Scottsdale, AZ)
- …for our Cash Plus product. This role is responsible for ensuring regulatory compliance and operational integrity across broker - dealer cash management ... across payment systems and card operations. + Demonstrate strong understanding of broker - dealer cash management accounts and related regulations (eg, Reg E,… more