- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational...Qualifications: + Bachelor's degree + 3-5 years of brokerage operations or FINRA comparable experience + Must… more
- BMO Financial Group (New York, NY)
- …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance...+ Experience with a regulatory agency strongly preferred, including FINRA , SEC, NYSE + Knowledge of FICC, equities, prime… more
- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (… 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 ... expertise in Regulation E, Regulation CC, NACHA rules, and FINRA oversight. You will design and execute compliance testing...in financial services, with at least 2 years in broker - dealer or banking-like operations . +… 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
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Wealth Management and Products Solutions clients, including Advisors, Sales Management, Operations , Risk, and Controls, as needed. You will work closely with… 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
- Atria Wealth Solutions (Vancouver, WA)
- …the insurance and securities industry. + Maintain continuing education and legal requirements of FINRA , State Insurance, broker dealer and Columbia CU. + ... NCUA and Investments and Insurance Group's non-NCUA marketing and operations in assigned branches. REQUIREMENTS + Minimum 5-7 years...Union and registered through CUSO Financial Services, LP, (Member FINRA /SIPC). CFS is a broker - dealer … more
- Atria Wealth Solutions (Dublin, CA)
- …To learn more about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a registered broker - dealer and SEC Registered Investment ... measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each...and regulatory requirements. + Ensure that the goals and operations of the Patelco Financial Solutions aligns with the… more
- Vanguard (Malvern, PA)
- …supporting client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA , OCC) and overseeing ... Overview The Head of Brokerage Trade Operations is responsible for leading Margin, Securities Lending,...Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness,… more
- Atria Wealth Solutions (King, NC)
- …by OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker / dealer . + Accountable for meeting annual business ... have the following abilities: to read, to perform arithmetic operations quickly and accurately; to see details and recognize...and registered through CUSO Financial Services, LP (CFS). Member FINRA /SIPC. CFS is a broker / dealer … more
- CIBC (New York, NY)
- …FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- TD Bank (Marlton, NJ)
- …to obtain additional licensing, as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... Wealth **Job Description:** The Supervision Controls Specialist is a FINRA and SEC regulatory supervisory principal role assisting in...a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services… more
- TD Bank (Greenville, SC)
- …to obtain additional licensing, as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services… more
- Lincoln Financial (Harrisburg, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... a Glance** We are excited to bring on an ** Operations Relationship Management Consultant** to support the Insurance ...the responsibilities of this position. + Must obtain the FINRA SIE and FINRA Series 6 or… more
- First National Bank of Omaha (Fort Collins, CO)
- …and operations roles across wealth management (prefer experience with OCC, SEC, FINRA , trust, RIA, broker - dealer , capital markets). + Proven experience ... a dynamic and experienced Vice President, Wealth Risk & Operations to lead Risk and Operations for...the Wealth division, ensuring compliance with all applicable SEC, FINRA , OCC, and state trust regulations. + Responsible for… more
- MUFG (New York, NY)
- …Administration or a related field. + 8+ years of progressive experience in broker ‑ dealer back‑office or equivalent financial operations . + Deep knowledge ... specialist to serve as the technical bridge between our operations teams and the underlying technology that powers our... teams and the underlying technology that powers our broker dealer settlement engine. The role demands… more
- PNC (Pittsburgh, PA)
- …sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad… more
- SMBC (Jersey City, NJ)
- …Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail banking operations ; US and LATAM representative ... various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how...either US banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations (SEC, CFTC, FINRA , NFA) and… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related ... brokerage and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with investment adviser,… more