- Capital One (Arlington, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and… more
- Marex (New York, NY)
- …www.marex.com Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, ... Plan in line with below responsibilities: Provide Compliance Advisory services to broker - dealer business lines. Complete or assist in completing broker… more
- Larson Maddox (New York, NY)
- A prestigious and well-established asset manager and broker - dealer , with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance ... the firm's compliance framework across all business lines, including asset management, broker - dealer operations, and private equity. Ensure full adherence to SEC… more
- CNA (Chicago, IL)
- …our Financial Lines group arising under policies issued to our life agent, broker - dealer , and investment advisor, banking and insurance customers. These claims ... can be complex in nature and valued in the multimillion dollar range. Insurance litigation and/or coverage analysis experience is preferred. The qualified candidate must be able to produce high quality written work product and meaningfully collaborate with and… more
- USAA (Phoenix, AZ)
- …annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and demonstrated ... of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices and emerging… more
- Marex (New York, NY)
- …Plan in line with below responsibilities: Provide Compliance Advisory services to US Broker Dealer business lines. Complete or assist in completing US ... Broker Dealer related regulatory inquiries. Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- CDC Small Business Finance (San Diego, CA)
- …Partners, CDC Small Business Finance and Momentus Securities (an SEC-registered broker - dealer , MSRB-registered, FINRA/SIPC member) - are transforming how capital ... and investments flow into communities to provide people access to the capital and opportunities they deserve. We are working to reinvent traditional financial systems and advance locally-led solutions that create economic mobility and generational wealth.… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- PIMCO (New York, NY)
- …and evolving regulatory requirements Maintain an understanding of investment company, broker - dealer , and investment advisory compliance regulatory focus areas, ... SEC Conduct annual reviews of the Funds, Adviser and limited purpose broker - dealer compliance policies and procedures Participate in the Fund's risk assessment… more
- Atria Wealth Solutions (Allentown, PA)
- …and an external network you develop Experience and aptitude with working with broker - dealer technology, ie, electronic order entry systems, DocuSign, etc. to ... about CUSO Financial Services LP visit www.cusonet.com CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year track record of serving the… more
- Raymond James Financial, Inc. (Bethesda, MD)
- …practices and procedures of business development in a financial services/ broker - dealer environment. *Investment concepts, practices and procedures used ... in the securities industry. *The principles of banking and finance and securities industry operations. *Financial markets, products, financial advisory function and the investment process. Skill in *Sourcing and developing sales prospects. *Executing practice… more
- Advisor Group (Fort Lauderdale, FL)
- …integrity of client asset record system and vendor lists Interfaces with broker / dealer , brokerage, fund companies, custodians and insurance companies as ... necessary Familiar with CRM tools: Salesforce and Practifi Tracks fees paid and contracts signed. Follows up with clients on outstanding payments Assists the team in maintaining a compliant practice Understands and adheres to policies regarding support from… more
- Vanguard Group (Malvern, PA)
- …experience with FINRA, SEC, and related regulations, and general knowledge of broker - dealer , retirement, banking and investment advisory businesses. Our "crew" ... and oversight; ensure appropriate policies, procedures and supervisory framework on broad broker - dealer related and market issues. Monitor, analyze, and responds… more
- Arena Investors I Quaestor Advisors (Jacksonville, FL)
- …with the Investment Advisers Act of 1940; *Support the CCO with FINRA broker - dealer requirements; *Monitoring of Client guidelines and restrictions; *Review of ... compliance policies and procedures; *Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); *Conflicts… more
- Jefferies (Jersey City, NJ)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- Societe Generale (New York, NY)
- …Second Line of Defense of the corporate banking, investment banking and broker - dealer activities across Societe Generale's operations, reporting on the ... General knowledge of applicable regulations relating to Investment Banking, and Broker - Dealer Sales and Trading activity. Strong interpersonal and written/verbal… more
- AQR (Greenwich, CT)
- …minimum experience reviewing marketing material, preferably with an investment adviser or broker - dealer Series 7 and 24 licenses required Strong understanding of ... the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, and any other applicable rules, regulations, and interpretive guidance Well organized, strong communication skills, detail-oriented and… more
