- Capital One (Richmond, VA)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk ... experience** **Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... or more years of experience with a registered US broker dealer or regulator. + JD desirable...you identify opportunities that support your goals. **Training & Onboarding ** We will provide training and onboarding … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Huntington National Bank (Columbus, OH)
- …or related experience Preferred Qualifications: + Bachelor's Degree + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + Proven ... Description The Institutional Sales Support Associate plays a vital role in delivering exceptional service and operational support to institutional sales… more
- MUFG (New York, NY)
- …Prior internship or experience in financial services (Global Bank / Sales & Trading / Broker - Dealer ) is a plus (but not mandatory) The typical base pay range for ... & Trading and Treasury team** . This role provides **operational support** , ** onboarding coordination** , and **KPI reporting** for front office Sales & Trading,… more
- TD Bank (Greenville, SC)
- …3010(e) and successor regulations **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... may improve overall productivity and Client satisfaction **Education & Experience:** + Associate degree and/or bachelor's degree + 2+ years of related experience… more
- Raymond James Financial, Inc. (New York, NY)
- …managing recruitment teams and working with independent advisors or broker - dealer environments preferred. **Licenses/Certifications** SIE required (unless ... expanding the firm's reach, improving recruitment outcomes, and developing team capabilities. Associate in this role will be located on the East Coast. **Essential… more