- 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… 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
- 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...banking services and regulatory requirements. + Serves as a specialist resource within BMO Capital Markets with advanced knowledge… 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 ... are seeking a highly experienced senior settlement system support specialist to serve as the technical bridge between our... teams and the underlying technology that powers our broker dealer settlement engine. The role demands… 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
- Lincoln Financial (Fort Wayne, IN)
- …LVIP transfer agency oversight. **What you'll be doing** **As Fund Administration and Operations - Specialist you will gain experience in:** + Operational and ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Guardian Life (Bethlehem, PA)
- As a Wealth Management Agency Operations Specialist , you will support Guardian Agencies with submitting new business and servicing wealth management accounts. ... detail oriented and possess excellent time management skills + Must understand broker dealer systems for account opening, asset movements, and order entry + Must… more
- TD Bank (Marlton, NJ)
- …Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Supervision ... of Business:** TD Wealth **Job Description:** The Supervision Controls Specialist 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
- Charles Schwab (Lone Tree, CO)
- …Visa debit card transactions for both the Bank and Broker Dealer products. **Responsibilities** The Senior Specialist is responsible for reviewing potential ... Detailed knowledge of Schwab systems related to both the Broker Dealer and the Schwab Bank sides...Required experience within financial industry. Familiarity with financial industry operations preferred. **What's in it for you** At Schwab,… more
- Lincoln Financial (Radnor, PA)
- …**Requisition #:** 74955 **The Role at a Glance** As a Digital Platform Specialist , you will perform foundational digital platform operations with increasing ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... to gain insights into our financials and make data-driven decisions. As a Specialist , Anaplan Model Builder, you will support the development and maintenance of our… more
- Lincoln Financial (Augusta, ME)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... #:** 74896 **The Role at a Glance** As a Specialist , you will consult, analyze, and deliver on more...with brokers & representatives. * Analyzes financial health, performance, operations , and personnel levels of customers to determine if… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Maintains product knowledge to assist with issues concerning various broker - dealer trades and investment products. + Collaborates with cross-functional ... teams, including portfolio managers, operations , and compliance, to execute fee-related tasks and projects. + Ensures adherence to both business continuity and… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... . Act as Business Resource for various teams within Fund Administration Operations (FAO). This includes assisting with issue resolution, special requests, process… more
- Truist (Richmond, VA)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... knowledge of retail brokerage and investment advisory industry rules, regulations and operations . + Strong organizational skills and the ability to multi-task. +… more
- KeyBank (Brooklyn, OH)
- …and regulations across Key's Asset Management activities (ie - wealth management and trust, broker - dealer , and swap dealer ) and lines of business, products, ... requirements. The Director must have comprehensive knowledge of wealth management, fiduciary/trust, broker - dealer , and investment management as well as a strong… more
- City National Bank (Dallas, TX)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more
- MyFlorida (Tampa, FL)
- …compliance, operations , or the front office of an investment adviser or broker - dealer . + Individuals who hold or have held securities industry licenses, ... not limited to, Certified Fraud Examiner (CFE); Certified Anti-Money Laundering Specialist (ACAMS); and/or a Certified Public Accountant (CPA) designation. A writing… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... motivated hands-on technical individual to join our Network Delivery Operations Team. You will play an integral part in...and Switching or Data Center + Symantec (Bluecoat) Certified Specialist (SCS) + Palo Alto Certified Network Security Engineer… more
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