- State Street Corporation (Denver, CO)
- … will partner with our Client Coverage Group to drive Select Sector ETF engagement with Broker / Dealer & RIA clients in the Mid-West region of the US using Sector ... The Sector Sales Specialist distributes the SPDR Select Sector ETFs, drives Sector...ETFs. The Sales Specialist will play a key role in growing our Select… more
- Oppenheimer & Co. Inc. (Scottsdale, AZ)
- …& Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker - dealer . With roots tracing back to 1881, the Company is engaged in ... a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and… more
- Oppenheimer & Co. Inc. (Jericho, NY)
- …& Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker - dealer . With roots tracing back to 1881, the Company is engaged in ... a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and… more
- Veterans Sourcing Group (Pennington, NJ)
- …excel required Desired Skills: - Relevant coursework in finance a plus - Previous experience working for a broker dealer or supporting a financial advisory team ... Operations Specialist - $23.44/hr. Pennington NJ Training will be onsite for all 5 days for first 6 weeks, after will be hybrid (requirement of 3 days onsite, 2 WFH)… more
- Cetera Financial Group, Inc. (St. Cloud, 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
- Syntricate Technologies (New York, NY)
- …How many years working with: Asset Management How many years working with: Broker - Dealer Job Description: Managers notes: Regulatory / compliance role (on the ... We need: We are looking for CFTC Reg Reporting specialist /SME consultant who focuses only on Regulatory . We...lifecycle, back office operational processes and institutional knowledge on broker -dealers is required as well as Strong risk and… more
- AutoNation (Fort Worth, TX)
- …record Why should I come work for AutoNation? You want to work for a car dealer that has a strong moral compass and treats all of its associates with respect Sales, ... phone sales, internet sales, fleet, telemarketer, telemarketing, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, auto sales,… more
- AutoNation (Broadway, VA)
- …say? Are you ready to be part of something big? The Vehicle Acquisition Specialist role is to acquire additional inventory for the dealership by purchasing customer ... sales, internet sales, fleet, manager, telemarketer, telemarketing, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, auto… more
- National Life Group (Montpelier, VT)
- …business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate of National Life Insurance ... such as Certified Fraud Examiner ("CFE"), Certified Anti-Money Laundering Specialist ("CAMS"), Certified Information Privacy Manager ("CIPM"), Certified Information… more
- Guardian Life (Holmdel, NJ)
- The Operations Specialist will serve as the expert on all aspects of our managed account model management, trading platform, annuity operations as well as all ... Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet,… more
- Charles Schwab (Austin, 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
- 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 ... communication skills. + Detailed knowledge of Schwab systems related to both the Broker Dealer and the Schwab Bank sides of the business with respect to Visa… more
- Vanguard (Miami, FL)
- Broker Dealer Hybrid Sales, Senior Specialist - US Offshore Our mission starts with you! Vanguard is seeking talented and driven individuals to join our new ... + Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of electronic and in-person communication.… more
- MUFG (New York, NY)
- …flows, securities processing, vendor management, and settlement processes within the broker - dealer environment. The ideal candidate will possess a comprehensive ... seeking a highly experienced and skilled Senior Trade Support Specialist to join our team. This role provides advanced...understanding of a wide range of Broker / Dealer products and systems, including Broadridge BPS,… more
- Vanguard (Malvern, PA)
- …and dynamic team that performs Treasury Functions consisting of moving and reconciling broker dealer cash activity. The VMC Treasury Liaison will perform the ... and customer reserve computations. + Working knowledge of BetaNeXT and the broker dealer stock record/ + Working knowledge of financial and operational controls.… more
- Principal Financial Group (Des Moines, IA)
- …and questions of business unit, registered representatives, and clients within our Broker Dealer Services space, to ensure information is complete, precise, ... industry information. A team member also provides phone support related to broker dealer questions on direct held accounts. Phone volumes will have seasonal… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry...unit. Global Markets is searching for a Credit Risk Specialist to cover financial institutions. The role reports to… more
- SMBC (Jersey City, NJ)
- …will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services ... of specialized experience in Financial Services, 2 + years Financial Reporting ( broker dealer experience is a strong plus) + Education: BA/BS required, MA/MS/MBA… more
- Guardian Life (Bethlehem, PA)
- …agency and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, ... Guardian life is seeking an Advisor Transitions Specialist who will be a critical part of...ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability… more
- Charles Schwab (Lone Tree, CO)
- …all audited financial statements for applicable subsidiary entities, including Schwab's broker - dealer , bank, and international subsidiaries. The SEC Reporting ... US GAAP, financial reporting principles, and SEC regulatory requirements. + Relevant broker / dealer , banking, or other financial services accounting experience a… more
