- Dexian - DISYS (Charlotte, NC)
- Cash Management / Broker - Dealer / Treasury AnalystCharlotte, NC: Locals Only!5 Months$25 - $26/HRRelated job titles may be Treasury Analyst or Cash Management ... investors are typically large corporate investment entities.Team used to be called Broker - Dealer group.Team has a checklist of production tasks that need… more
- Fidelity TalentSource LLC (Boston, MA)
- …Financial and Fidelity Brokerage Services, as well as for correspondent client broker - dealer firms. \u00A0\u00A0The Director is responsible for understanding the ... Bring Experience and understanding of trade and position reporting requirements of a broker / dealer including but not limited to CAT, CAIS, Rule 605 and Rule… more
- Truliant Federal Credit Union (Greensboro, NC)
- …compliance guidelines, and strictly adheres to all Credit Union, TFA and broker - dealer policies where appropriate.Follows established policies and procedures of ... the established guidelines for maintaining client files in accordance with broker - dealer practices and FINRA requirements.Meets or exceeds the minimum… more
- Hired by Matrix (Sandy, UT)
- …to all teams. Answer case/phone inquiries from branches and telephone inquiries for broker dealer firms, provide support to outsourced vendor, escalate any ... an Operations Support! What You'll Do: Requires daily interaction with various broker dealers, internal branch network, other operations groups and technology teams.… more
- Hired by Matrix (Jersey City, NJ)
- …to all Branches. Answer case/phone inquiries from Branches and telephone inquiries for broker dealer firms. Provide support to outsourced vendor. Escalate any ... Support Specialist!What You'll Do: Requires daily interaction with various broker dealers, internal branch network, other Operations groups, and technology… more
- Amerant Bank (Coral Gables, FL)
- …support and exceptional customer service to the bank's affiliated broker dealer and registered investment advisor.Responsibilities:Middle Office Liaison ... and middle office requests coming from Wealth Management and Broker DealersTechnical and/or Other Essential Knowledge:Basic investments and securities… more
- Hired by Matrix (New York, NY)
- …and long form confirmations. A plus if experience negotiating trading agreements at broker / dealer , buy-side firm and law firm with an emphasis on equity ... swaps and the master confirmations associated with those transactions. Position Type: Contract Get in Touch: We want to hear from you! If you think you'd be a good match, submit your resume and reach out to Pruthvi at ### to learn more. Who We Are:Since 1986,… more
- Fidelity TalentSource LLC (Jersey City, NJ)
- …of New Account proceduresUnderstanding of Securities Processing operations and Broker / Dealer Compliance policies and proceduresExperience with SEC filings ... (10Q, 10K, Form 4, 13D and G, S-1 and S-3 s) and SEC regulations regarding restricted/control transactionsFamiliarity with Rule 10b5-1 trading plan implementation and administration.Knowledge of the Brokerage and/or Custody industrySupporting business partners… more
- Fidelity TalentSource LLC (Jersey City, NJ)
- …Division (CE) provides outstanding customer service to Fidelity's Clearing correspondent broker - dealer clients through innovation, dedication, and commitment to ... excellence. We ensure a seamless and robust experience for our clients by developing positive relationships to build lasting trust, dedication, and satisfaction.The base salary range for this position is $85,000-$144,000 per year. \u00A0Placement in the range… more
- Fidelity TalentSource LLC (Chicago, IL)
- …complex planning and sophisticated product offeringsA sound understanding of the Broker / Dealer and RIA marketplaceBachelor s Degree required The Purpose\u00A0of ... Your RoleThis is a senior level position responsible for effectively implementing wealth management, trust and estate planning to individuals while maintaining a high level of superior service to drive client loyalty. The Skills\u00A0You BringAbility to… more
- CohnReznick LLP (Parsippany-Troy Hills, NJ)
- …Services Group. The Financial Services Group provides services to private equity, hedge fund, broker dealer , fund to funds, and real estate fund clients. You ... will work on a team with other Associates, Senior Associates, Managers, Senior Managers, and Partners. This team has a passion for what they do and a focus on consistently delivering value to our clients. WHY COHNREZNICK? At CohnReznick, we're united by a… more
- Creative Financial Staffing (Chicago, IL)
- …ledger accounts. Prepares quarterly and annual financial statements for the affiliated broker dealer Drafts Footnote disclosures and management discussions and ... analysis for regulatory reporting Assist in the timely preparation of reports and financial statements in accordance with generally accepted accounting principles and performance standards. Record and respond to partner and client inquiries resolving… more
- CohnReznick LLP (Miami, FL)
- …Services Group. The Financial Services Group provides services to private equity, hedge fund, broker dealer , fund to funds, and real estate fund clients. You ... will work on a team with other Associates, Senior Associates, Managers, Senior Managers, and Partners. This team has a passion for what they do and a focus on consistently delivering value to our clients. WHY COHNREZNICK? At CohnReznick, we're united by a… more
- Russell Tobin & Associates (Alpharetta, GA)
- …either the financial services industry (preferably investment research, investments, broker / dealer , investment banking) and/or technology sector (software ... solutions) Benefits InfoPride Global offers eligible employee's comprehensive healthcare coverage (medical, dental, and vision plans), supplemental coverage (accident insurance, critical illness insurance and hospital indemnity), 401(k)-retirement savings,… more
- Capital One (New York, NY)
- NYC 299 Park Avenue (22957), United States of America, New York, New York Commercial Broker Dealer Chief Compliance Officer - Sr. Director The Sr. Director will ... be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker -dealers and provide compliance support to… more
- Federal Reserve System (Dallas, TX)
- …brokerage and financial services, or banking supervision. + Strong knowledge of broker dealer /advisory services operations and regulatory requirements. + Strong ... Advanced abilities to apply and explain complex regulatory concepts relating to broker dealer /advisory services activities. + Capacity to pursue multiple… more
- Charles Schwab (Phoenix, AZ)
- …have** + 7-10+ years of IT audit experience with increasing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or similar ... efficiency of governance processes, risk management, and internal controls. The Broker - Dealer / Asset Management enterprise team is seeking an Internal Audit… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager ... will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered broker dealers and… 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
- Citizens (Westwood, MA)
- …Citizens Compliance function, will be responsible for: + Reviewing and approval of all broker dealer marketing and advertising materials submitted for use by the ... and proposed regulations (SEC, FINRA, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm's current business… more
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