- Huntington National Bank (Chicago, IL)
- …duties as assigned Basic Qualifications: + Bachelor's Degree + 2 or more years of Broker Dealer trade allocations experience or comparable experience + FINRA ... Stay up to date on industry regulations and compliance requirements related to trade allocations, corrections, and settlement + Create and maintain detailed… more
- MUFG (New York, NY)
- …to serve as the technical bridge between operations and the technology that powers our broker dealer settlement engine. This role requires deep expertise in ... trade flows, securities processing, cash management, and settlement across platforms such as Broadridge BPS, ICI, COGNOS,...related field. * 8+ years of progressive experience in broker dealer back office, financial technology, or… more
- Charles Schwab (Westlake, TX)
- … Settlement Services** (TSS) is primarily responsible for all aspects of the trade lifecycle from post execution through to settlement . This includes the ... external stakeholders. + Engage and help lead the Treasury Settlement Services' primary functions of trade verification... operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess… more
- City National Bank (New York, NY)
- …trade support, or operations within an investment management firm, hedge fund, or broker - dealer * Minimum 3 years of experience executing or supporting equity ... * TRADE EXECUTION LEAD* WHAT IS THE OPPORTUNITY? This...to custodians and external brokers, ensuring timely and accurate settlement . * Investigate and escalate unusual or suspicious order… more
- Santander US (Boston, MA)
- …Finance, Management, or equivalent field. - Required. 9+ Years Supervision & Trading in Broker Dealer - Required. * Ability to direct, train and guide peers, ... for overseeing all trading activities and supervisory functions within the broker - dealer . This individual will ensure compliance with regulatory requirements,… more
- Citizens (San Francisco, CA)
- …subsidiary of Citizens Financial Group, operates as a FINRA-registered institutional broker - dealer offering comprehensive services in M&A advisory, investment ... + Experience: 2-5+ years in compliance within investment banking, research, or broker - dealer environment, with strong knowledge of equity and fixed income… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …to Middle Office, Compliance, IT, Trading, Accounting; Fifth Third Securities' Broker Dealer , National Financial Services/Pershing, and other third-party ... daily reports and monitors account activities for potential concerns related to trade settlement , margin, potential risk exposure, and clearing firm… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, setup, ... in regards to FRB process, FICC netting, and Fedwire settlement + Check for any Cxl'd and Corrected tickets...business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding… more
- MUFG (New York, NY)
- …understanding of the trading lifecycle, including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + ... the financial services industry, preferably in a relevant role within a Broker / Dealer or similar organization. + Demonstrated ability to effectively manage and… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... the three largest banking groups in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE:...+ Settlements (FED, DTC, and Euroclear) + Tracking and settlement of P&I + Tracking and settlement … more
- Citigroup (Jersey City, NJ)
- …rules and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, ... platform encompasses a number of Surveillance/Control related portfolios including trade surveillance, e-communications and voice surveillance, employee trading, outside… more