- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker ... this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more
- Vanguard (Charlotte, NC)
- …of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments ... of compliance experience in financial services, with at least 2 years in broker - dealer or banking-like operations . + Proven experience with cash products and… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- Guardian Life (Holmdel, NJ)
- The Operations Specialist will serve as an SME on all aspects of our managed account model management, trading platform, annuity operations as well as all ... associated custody, clearance, and order execution processing. The Operations Specialist will intimately understand how our Portfolio Administration Technologies,… more
- Marex (New York, NY)
- …+ Serve as a subject matter expert on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… more
- NatWest Markets (Stamford, CT)
- …and reconciliation processing. + Familiarity with US regulatory requirements specific to Broker Dealer Operations . + Solid understanding of general ... Operations Supervisor - Investment Banking Closing date for...may be assigned as necessary to ensure the proper operations of the department and the business._ **Overview:** The… more
- Raymond James Financial, Inc. (New York, NY)
- …as a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable ... the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates and division of responsibilities within the… more
- Kestra Financial (Sewickley, PA)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a demonstration… more
- Charles Schwab (San Francisco, CA)
- …liquidity and collateral requirements * Extensive experience and knowledge required in broker / dealer operations * Experienced with treasury functions ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Broadridge Financial Solutions (New York, NY)
- …level financial services executives. 8-10 years of experience. + 10+ years of either Broker - Dealer Operations Experience or Broker - Dealer Sales ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Principal Financial Group (Lincoln, NE)
- …a related field preferred. + 2+ years of related work experience in life insurance/ broker - dealer or RIA operations : client service, account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… more
- Kestra Financial (Raleigh, NC)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Kestra Financial (Kings Park, NY)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Kestra Financial (Beaver, PA)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Kestra Financial (Knoxville, TN)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards * Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Raymond James Financial, Inc. (Southfield, MI)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations . **Skill in:** * Identifying the needs of ... * Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. * Works… more
- USAA (San Antonio, TX)
- …+ Subject-matter-expert level of business acumen in the areas of annuity business operations , broker dealer sales processes and paperwork, sales suitability, ... in annuity operations support and service, preferably within a broker - dealer or insurance company utilizing third-party annuities distribution. + 2… more
- Kestra Financial (San Antonio, TX)
- …5+ years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, ... directly to the Financial Planner and manages the firm's client service operations , overseeing support staff and enhancing the client experience through proactive… more
- Citizens (Westwood, MA)
- …planning. Required Qualifications: + 7+ years of experience in wealth management, broker - dealer operations , or financial services + Proven leadership ... Ops Group Manager, you are responsible for overseeing and managing the operations of the wealth management group. Additionally, you ensure efficient and effective… more
- Raymond James Financial, Inc. (Denver, CO)
- …and any other applicable fraud-related regulatory or industry rules and guidance. + Broker - dealer operations , transaction methods & financial products, and ... with internal stakeholders (eg, Quality Control, Analytics, Compliance, Legal, Operations , Technology) and external partners (eg, financial institutions, law… more
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