- M&T Bank (Boston, MA)
- …and adaptable + Motivated with a desire to learn and deliver results + Institutional Broker - Dealer Compliance experience + Possess self-confidence and ... **Overview:** Responsible for contributing to and supporting the broker dealer compliance program...management + Design and implement Firm technology guidelines, including institutional broker - dealer requirements, review and… more
- Truist (Atlanta, GA)
- …/ or research compliance will also be considered for the role. 6. Institutional Broker - Dealer compliance experience. 7. Control Room experience, ... shift (United States of America) **Please review the following job description:** Senior Compliance Control Group Officer is a subject matter expert within the … more
- M&T Bank (Baltimore, MD)
- …first line of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk ... Executive and Leadership team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/… more
- SMBC (New York, NY)
- …Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer . + Strong knowledge in US ... of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client...be well organized with project management skills. + Regulatory compliance experience at a broker dealer… more
- Janus Henderson Investors (Denver, CO)
- …and departmental/firmwide projects. 2. Chief Compliance Officer (CCO) of Limited Purpose Broker - Dealer : + Serve as the primary Compliance Officer for the ... Mutual Funds, ETFs, CITs, Private Funds, or SMAs for institutional , intermediary and retail clients. + Ensure all distribution...firm's limited purpose broker - dealer , managing all aspects of the compliance … more
- Citizens (Charlotte, NC)
- Description Senior Auditor - Capital Markets/ Broker Dealer The Internal Audit team at Citizens is hiring a Senior Auditor on our audit Capital Markets, Market ... Auditor will lead and/or participate on complex audits of the company's broker - dealer , including audits of Equity Research (production and dissemination of… more
- Wells Fargo (Charlotte, NC)
- …military experience, education **Desired Qualifications:** + 3+ years in Capital Markets, Broker Dealer and/or Securities Operations experience + Knowledge of ... **About this role:** Wells Fargo is seeking a Senior Institutional Investment Operations Specialist. Team members support our focus on building strong customer… more
- Wells Fargo (Charlotte, NC)
- …experience, education **Desired Qualifications:** + 5+ years in Capital Markets Broker Dealer Operations experience. + Extensive knowledge and understanding ... **About this role:** Wells Fargo is seeking a Lead Institutional Investment Operations Specialist that will be responsible but not limited to the below tasks: They… more
- Wells Fargo (Charlotte, NC)
- …to onboard new business as needed. The Funding Operations team sits within WFS Broker Dealer Operations and primarily supports the Funding Capital Liquidity team ... **About this role:** Wells Fargo is seeking a Senior Institutional Investment Operations Specialist to join the Cash Management team. The Cash Management team sits… more
- SMBC (New York, NY)
- …as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief ... of commercial and investment banking services to its corporate, institutional , and municipal clients. It connects a diverse client...+ Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more