- Federal Reserve System (Dallas, TX)
- …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + ... #LI-Hybrid **About the Role:** We are looking for a Broker / Dealer Risk Specialist to be...and securities compliance for the brokerage and investment advisory operations . In this role you will lead and participate… more
- Charles Schwab (Phoenix, AZ)
- …the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking an Internal Audit ... responsible for executing application reviews in business integrated audits. The Broker - Dealer /Asset Management team provides internal audit coverage of the… more
- Charles Schwab (Westlake, TX)
- …- Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist ). The Broker - Dealer /Asset Management team provides internal audit ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- Adecco US, Inc. (Richmond, VA)
- …is currently assisting one of its clients in their search for a **Brokerage Operations Specialist in Richmond, VA!** Pay rate: $23.94/hr Shift availability: Mon ... able to: + Annuity processing functions include + Representative changes + Broker dealer changes + Linking requests once received + Processor responsible for… more
- TD Bank (Greenville, SC)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The US Wealth Operations Specialist I is an introductory role to Wealth that performs ... of accounting entries and procedures + Knowledge of trust operations processes + Strong arithmetic skills + Strong organizational...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides intvestment securities and other financial services ... experience working in the financial service industry + 2+ years of financial reporting ( broker dealer experience is a strong plus) + BA/BS required + Working… more
- Bank of America (Phoenix, AZ)
- …controls, client behavior and transaction trends + Identify potentially suspicious broker - dealer activity such as insider trading, market abuse/market ... Global Financial Crimes Specialist Pennington, New Jersey;Charlotte, North Carolina; Phoenix, Arizona...Microsoft Office Products including advanced knowledge of Excel + Broker / Dealer industry experience **Shift:** 1st shift (United… more
- AutoNation, Inc. (Fort Worth, TX)
- …Renault, Tata, Zhejiang Geely, ZGH, Service Department, Fixed Ops, Fixed Operations , Customer Care, After-Sales, After Sales, Customer Service, Call Center, Sales ... Representative, Call Center Representative, Customer Specialist , BDC, Internet Sales, Car Sales, Inbound Call Center, Outbound Call Center, Automotive Sales, Car… more
- Federal Reserve System (Philadelphia, PA)
- …project management, first and second line controls, internal audit, compliance, broker / dealer activities, and common governance, reporting, and monitoring ... Jersey, and Delaware. The Large and Foreign Banking Organizations (LFBO) risk specialist has strong knowledge of risk management practices related to financial risks… more
- Guardian Life (Bethlehem, PA)
- **Position Overview:** The Sr Learning Specialist within the Operations Learning and Development team is responsible for development and delivery of operational ... in collaboration with business stakeholders. Park Avenue Securities is Guardian's broker - dealer and corporate Registered Investment Advisor (RIA), which offers… more
- City National Bank (El Segundo, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... **ADMINISTRATIVE SPECIALIST SENIOR** **WHAT IS THE OPPORTUNITY?** This person...reports, etc.) and organizing into specified/established format. Performs various operations (eg, mathematical calculations, sorting data, etc.) on information… more
- Truist (Charlotte, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... of experience in brokerage with an emphasis in compliance, operations or supervisory function 2. Strong written and oral...and thorough knowledge of retail rules and regulations and operations 4. **Series 7, 66 or (63/65), 24 and… more
- Raymond James Financial, Inc. (Troy, MI)
- …the securities industry.** **Financial markets and products.** **Principles of finance and broker / dealer operations .** **Skill in:** **Oral and written ... communication.** **Assessing, analyzing, and explaining market events on assigned investment products.** **Identifying and responding to client needs.** **Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely… more
- Randstad US (Sandy, UT)
- …category management occupations + referenceAB_4525344 job details We are seeking a motivated Operations Specialist to join our team. This role will involve daily ... interaction with various broker dealers, internal branch network, other Operations ...case/phone inquiries from MSSB Branches and telephone inquiries for broker dealer firms, provide support to outsourced… more
- Atria Wealth Solutions (Syracuse, NY)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... institutions and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent financial… more
- AutoNation, Inc. (Golden, CO)
- …the business through a high-level of involvement in the day-to-day operations Ensuring that e-leads are handled timely, answering questions, providing information ... fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job fair,… more
- AutoNation, Inc. (Westminster, CO)
- …the service department to achieve these goals without disrupting our service operations or the customer experience. The Equity Mining Sales Associate interacts with ... fleet, manager, at&t, telemarketer, telemarketing, t mobile, kuni, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job fair,… more
- AutoNation, Inc. (Davie, FL)
- …the service department to achieve these goals without disrupting our service operations or the customer experience. The Equity Mining Sales Associate interacts with ... sales, internet sales, fleet, manager, telemarketer, telemarketing, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job… more