- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding ... DMA, plus award-winning data, insights and analytics [do not delete]. The US Onboarding team is responsible for facilitating the account opening process across a… more
- MUFG (New York, NY)
- …with the necessary product expertise to support project success. Manage the onboarding and offboarding processes for Business Analyst resources. + **Project ... including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + **Product Knowledge:** Expertise with a broad range… more
- TD Bank (Greenville, SC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Commerce Bank (Kansas City, MO)
- …our Commerce Financial Advisors (CFA) accounts which use LPL Financial as a broker - dealer & Registered Investment Advisor. The team provides exceptional customer ... service focused and technically adept individual for our Systems Support Analyst role in our Commerce Financial Advisor divisions. Commerce Financial Advisors… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …broad understanding of the different areas of investment advisory relationships and broker - dealer services. Contact with internal and external parties, including ... Assist with Financial Advisor inquiries regarding product offerings and retirement plan onboarding to firm systems. + Assist Team and Financial Advisor's with… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, self-motivated, and highly organized ... pre-hire Workday requests for potential new hires + Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review and distribute… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, ... similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more
- TD Bank (New York, NY)
- …key control partners and the TDS front office. TD Securities is looking for a broker - dealer accountant to join its Product Control division in New York City. ... books and records and regulatory filings for its US broker -dealers as well as non broker dealers....still providing a high-quality work product The Senior Finance Analyst TDS provides planning, forecasting, reporting and financial analysis… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through… more