- Guardian Life (Holmdel, NJ)
- The Operations Specialist will serve as the expert on all aspects of our managed account model management, trading platform, annuity operations as well as all ... Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet,… more
- Charles Schwab (Austin, TX)
- …- Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist ). The Broker - Dealer /Asset Management team provides internal audit ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- Vanguard (Miami, FL)
- Broker Dealer Hybrid Sales, Senior Specialist - US Offshore Our mission starts with you! Vanguard is seeking talented and driven individuals to join our new ... + Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of electronic and in-person communication.… more
- MUFG (New York, NY)
- …flows, securities processing, vendor management, and settlement processes within the broker - dealer environment. The ideal candidate will possess a comprehensive ... seeking a highly experienced and skilled Senior Trade Support Specialist to join our team. This role provides advanced...understanding of a wide range of Broker / Dealer products and systems, including Broadridge BPS,… more
- Vanguard (Malvern, PA)
- …and dynamic team that performs Treasury Functions consisting of moving and reconciling broker dealer cash activity. The VMC Treasury Liaison will perform the ... and customer reserve computations. + Working knowledge of BetaNeXT and the broker dealer stock record/ + Working knowledge of financial and operational controls.… more
- Principal Financial Group (Des Moines, IA)
- …and questions of business unit, registered representatives, and clients within our Broker Dealer Services space, to ensure information is complete, precise, ... industry information. A team member also provides phone support related to broker dealer questions on direct held accounts. Phone volumes will have seasonal… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry...unit. Global Markets is searching for a Credit Risk Specialist to cover financial institutions. The role reports to… more
- SMBC (Jersey City, NJ)
- …will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services ... of specialized experience in Financial Services, 2 + years Financial Reporting ( broker dealer experience is a strong plus) + Education: BA/BS required, MA/MS/MBA… more
- Guardian Life (Bethlehem, PA)
- …agency and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, ... Guardian life is seeking an Advisor Transitions Specialist who will be a critical part of...ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability… more
- Charles Schwab (Lone Tree, CO)
- …all audited financial statements for applicable subsidiary entities, including Schwab's broker - dealer , bank, and international subsidiaries. The SEC Reporting ... US GAAP, financial reporting principles, and SEC regulatory requirements. + Relevant broker / dealer , banking, or other financial services accounting experience a… more
- Lincoln Financial (Omaha, NE)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... the Group Protection Portfolio Management Team. As a Request for Proposal Specialist , you leverage project management skills and apply product and services knowledge… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …platform operations and practices. + Billing systems and financial operations in a broker - dealer environment. + Contract pricing structures and fee schedules. + ... **Job Summary** The Operations & Billing Support Specialist plays a crucial role in ensuring the...implementing unique pricing schedules for all RIA's and introducing broker dealers on the RCS platform, supporting fee collection… more
- TD Bank (New York, NY)
- …to 10 years of knowledge and experience in AML compliance, preferably within the broker - dealer industry at a large financial institution. + Excellent verbal and ... this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist , Transaction Monitoring & Investigations **Reports to:** Director, Financial… more
- Citizens (Johnston, RI)
- …understand risks associated with client product and transaction approvals/declines to limit broker dealer liability and financial loss. + Independently determine ... Description The Private Wealth Service and Support Specialist is responsible for providing white-glove, end-to-end processing and servicing to Private Wealth clients… more
- Adecco US, Inc. (Pennington, NJ)
- …required . Relevant coursework in finance a plus . Previous experience working for a broker dealer or supporting a financial advisory team As a reminder, this ... top clients with their search to fill a **Operations Specialist !** Pay: $ 22.12/hr Location: Hybrid (2 days at...Branch Office network across Merrill. **Responsibilities for this Operations Specialist include but are not limited to:** . Complete… more
- Wells Fargo (Boston, MA)
- …services industry experience + Experience in branch office supervision, compliance, broker - dealer governance, sales supervision **Job Expectations:** + US only: ... **About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management.… more
- Bank of America (Charlotte, NC)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... EFR Liquidity Risk Sr. Specialist Charlotte, North Carolina;New York, New York **To proceed with your application, you must be at least 18 years of age.**… more
- Charles Schwab (Lone Tree, CO)
- …Financial Responsibility Rule requirements **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, ... with Schwab. The SCO is looking for a Senior Specialist to support the Business Process (BP) portions of...portions of the ICFR and ICOC Assessments. This Senior Specialist will be accountable for the portions of the… more
- Lincoln Financial (Greensboro, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Glance** We are seeking an Audio-Visual (AV) Technical Support Specialist to join our team. This individual will possess...doing** + Serve as the primary AV technical support specialist for meetings and events hosted by business leaders… more
- Wells Fargo (Fort Lauderdale, FL)
- …years of financial services industry experience + Experience in compliance or broker - dealer governance + Experience partnering with business, compliance and ... **About this role:** Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn… more