- Federal Reserve System (Dallas, TX)
- …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + ... #LI-Hybrid **About the Role:** We are looking for a Broker / Dealer Risk Specialist to be...and securities compliance for the brokerage and investment advisory operations . In this role you will lead and participate… more
- Charles Schwab (Phoenix, AZ)
- …the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit ... responsible for executing application reviews in business integrated audits. The Broker - Dealer /Asset Management team provides internal audit coverage of the… more
- Wells Fargo (New York, NY)
- …including approval of processes completed by other team members + Partner with vendors, Broker Dealer Operations , Middle Offices, and other stakeholders to ... **About this role:** Wells Fargo is seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and… more
- TD Bank (Mount Laurel, NJ)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The US Wealth Operations Specialist I is an introductory role to Wealth that performs ... of accounting entries and procedures + Knowledge of trust operations processes + Strong arithmetic skills + Strong organizational...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides intvestment securities and other financial services ... experience working in the financial service industry + 2+ years of financial reporting ( broker dealer experience is a strong plus) + BA/BS required + Working… more
- Bank of America (Phoenix, AZ)
- …controls, client behavior and transaction trends + Identify potentially suspicious broker - dealer activity such as insider trading, market abuse/market ... Global Financial Crimes Specialist Pennington, New Jersey;Charlotte, North Carolina; Phoenix, Arizona...Microsoft Office Products including advanced knowledge of Excel + Broker / Dealer industry experience **Shift:** 1st shift (United… more
- ManpowerGroup (Phoenix, AZ)
- …/FINRA regulations * Ensure proper documentation for client accounts and clearing broker / dealer firms * Key working relationships include Settlement ... **Role: Trading Operations Analyst** **Locations: Phoenix, AZ / Denver, CO...and restricted securities * Knowledge of DVP trading: Prime Broker , Client to Client, Step Out, CMTA and … more
- AutoNation, Inc. (Dallas, TX)
- …Renault, Tata, Zhejiang Geely, ZGH, Service Department, Fixed Ops, Fixed Operations , Customer Care, After-Sales, After Sales, Customer Service, Call Center, Sales ... Representative, Call Center Representative, Customer Specialist , BDC, Internet Sales, Car Sales, Inbound Call Center, Outbound Call Center, Automotive Sales, Car… more
- ElectriCities of North Carolina (Raleigh, NC)
- …banking institutions. + Research, identify, and coordinate the correcting of bank and/or broker / dealer errors in the delivery of investment securities in a ... review, and monitor underlying collateral for repurchase agreements with broker /dealers. + Administer all wire/transfers, transfers between accounts, ACH, EFT,… more
- Federal Reserve System (Philadelphia, PA)
- …project management, first and second line controls, internal audit, compliance, broker / dealer activities, and common governance, reporting, and monitoring ... Jersey, and Delaware. The Large and Foreign Banking Organizations (LFBO) risk specialist has strong knowledge of risk management practices related to financial risks… more
- Guardian Life (Bethlehem, PA)
- **Position Overview:** The Sr Learning Specialist within the Operations Learning and Development team is responsible for development and delivery of operational ... in collaboration with business stakeholders. Park Avenue Securities is Guardian's broker - dealer and corporate Registered Investment Advisor (RIA), which offers… more
- City National Bank (El Segundo, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... **ADMINISTRATIVE SPECIALIST SENIOR** **WHAT IS THE OPPORTUNITY?** This person...reports, etc.) and organizing into specified/established format. Performs various operations (eg, mathematical calculations, sorting data, etc.) on information… more
- Truist (Charlotte, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... of experience in brokerage with an emphasis in compliance, operations or supervisory function 2. Strong written and oral...and thorough knowledge of retail rules and regulations and operations 4. **Series 7, 66 or (63/65), 24 and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and reports. * Maintains product knowledge in order to assist with various broker dealer trades. * Builds relationships with members of cross-functional areas ... approved by Human Resources. **Licenses/Certifications:** * None required. **Job:** Operations **Primary Location:** US-FL-St. Petersburg-Saint Petersburg **Organization** Asset Management… more
- Atria Wealth Solutions (San Diego, CA)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... institutions and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent financial… more
- AutoNation, Inc. (Littleton, CO)
- …Driving the business through a high-level of involvement in the day-to-day operations Managing the negotiation process with Sales Associates ensuring that customers ... fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job fair,… more
- AutoNation, Inc. (Golden, CO)
- …the business through a high-level of involvement in the day-to-day operations Ensuring that e-leads are handled timely, answering questions, providing information ... fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job fair,… more
- AutoNation, Inc. (Westminster, CO)
- …the service department to achieve these goals without disrupting our service operations or the customer experience. The Equity Mining Sales Associate interacts with ... fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job fair,… more
- Wells Fargo (Charlotte, NC)
- …assessment within an Operational Risk Framework + Knowledge and understanding of Broker / Dealer regulatory requirements + Experience with trading and investment ... **About this role:** Wells Fargo is seeking a Lead Business Accountability Specialist to join the RIA Solutions Channel's Risk & Governance team. This role will… more