- Vanguard (Malvern, PA)
- …existing relationships with distributors, advisors, and other intermediaries in the Broker Dealer channel through predominantly electronic and telephone ... Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Charles Schwab (Westlake, TX)
- …efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor ( ... Senior Specialist). The Broker - Dealer /Asset Management team provides internal audit coverage of the...build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... Governance Team is responsible for producing management reporting for senior business leadership, CPAD Senior Management, Risk...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Charles Schwab (Westlake, TX)
- …to improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a ... Senior IT Auditor ( Senior Specialist, Internal Audit...build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment… 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 ... or processes under the oversight of one or more senior team members. Incumbents are typically developing subject matter...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- Vanguard (Malvern, PA)
- …high-impact legal agreements-from securities lending and repurchase transactions to broker / dealer trading and platform documentation. You'll partner with ... documents for securities lending, repurchase agreements, as well as broker / dealer trading and platform agreements and supporting...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Citigroup (New York, NY)
- …fund financing products, and legal advice in areas of securities laws, broker - dealer regulation, swaps regulations, margin requirements, security interests and ... **Job Description** **The Senior Lead Counsel I - Equities Cash and Derivatives SVP will provide transactional and advisory legal services to risk managers and… more
- Charles Schwab (Westlake, TX)
- …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... ensuring compliance at all times, and escalating issues to senior management as necessary. We work with internal and...to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related ... and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more