- Societe Generale (Jersey City, NJ)
- …prudential and tax norms while ensuring compliance. SKILLS AND QUALIFICATIONS: Knowledge of broker dealer accounting and finance Knowledge of broker ... knowledge of SEA rules 15c3-1 and 15c3-3 7-10 years US Broker Dealer Regulatory reporting experience Education: Bachelor's degree in Finance, Accounting, or… more
- Yoh Services LLC (New York, NY)
- Title: Broker - Dealer Compliance Analyst Location: NYC Type: Contract Responsibilities: *Assess business activities and support functions for compliance with ... University degree *1 to 3 years relevant experience with a regulator, broker - dealer or other financial services institution *PowerPoint/Excel skills *Knowledge… more
- Marex (New York, NY)
- …: Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval. Ensure that appropriate CDD / KYC and AML ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and… more
- Central Bancompany (Lawrence, KS)
- …to follow the Central Investment Advisor Policy as well as all rules of the broker dealer as detailed in the LPL Financial Compliance Manual. This includes the ... when periodic reviews are conducted with the client through the broker dealer technology platform. The account opening, maintenance and retention is done… 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
- Cetera Financial Group, Inc. (St. Paul, MN)
- …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
- Cetera Financial Group, Inc. (St. Paul, MN)
- …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
- Cetera Financial Group, Inc. (Leawood, KS)
- …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
- Phaxis (New York, NY)
- Growing clearing fintech broker dealer is seeking a compliance officer to further enhance their Reg Sho framework. Key Responsibilities Maintain, administer, and ... clearing firm. 3+ years of direct Reg SHO compliance experience at a broker - dealer or clearing firm. Base Salary - $175,000-$200,000 depending on experience more
- CNL Financial Group (Orlando, FL)
- …build upon existing relationships with financial professionals/ registered representatives in the Broker Dealer network within their territory Grow CNL's market ... risks and benefits Strive to become a knowledgeable resource to the broker dealer network and internal associates on all aspects of the investment industry,… 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
- Ecruit (Boston, MA)
- …mutual fund Wholesaler, Regional Directors with active financial advisor relationships at broker - dealer firms that ideally would include: MSWM, Merrill Lynch, ... strategic partners' retail mutual fund products with financial advisors at these broker - dealer firms. Also, it is assumed that candidates will be appropriately… more
- Jefferies (San Francisco, CA)
- …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
- Octaura (New York, NY)
- …Understanding of Generally Accepted Accounting Principles (GAAP) CPA is a plus Broker dealer /net capital experience is highly preferred FINRA Series 27/28 ... with department policy, including monthly, quarterly, and yearly adjustments Prepare broker / dealer filings, net capital calculations, and different analysis.… 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
- Pyramid Consulting, Inc. (Houston, TX)
- …to the purpose of serving clients Experience with Salesforce, managed investing and broker dealer platforms Understanding of user centric design in business, ... and business goals. Collaborate with cross-functional teams including advisory, broker - dealer , compliance, legal, operations, marketing and technology 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …operations and practices. Billing systems and financial operations in a broker - dealer environment. Contract pricing structures and fee schedules. Operational ... preparing and implementing unique pricing schedules for all RIA's and introducing broker dealers on the RCS platform, supporting fee collection across multiple… more
- Lincoln Financial (Broomall, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... solutions to their clients. This is a consultative phone-based position responding to broker inquiries received via inbound calls. You will answer questions in a… more
- Prudential Financial, Inc. (Arlington, VA)
- …underwriter, mortgage broker , borrower, attorney, title company, security broker dealer , government employees, servicing and asset management personnel. ... Manages and communicates transaction timeline to internal and external partners to verify all appropriate deadlines are being met. Performs pre- and post-closing functions including managing closing checklist to ensure that closing counsel has received all… more
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