- TIAA (Frisco, TX)
- The Operations Analyst is responsible for a variety of tasks associated with the opening, funding and on-going maintenance of discretionary managed, fee-based ... Communicates requirements to open, fund and maintain a TIAA brokerage /managed account . + Completes brokerage ...2+ years' experience in financial services industry; specifically in Brokerage operations + Bachelor's Degree + Experience… more
- Citigroup (Tampa, FL)
- …processes, and drive strategy across our industry. **Job Background/context** Prime Brokerage Client Service sits within Citi Market Operations supporting ... **Organization Overview:** Citi Market Operations is currently at a pivotal point in...3 player in the market, Equity (Cash, Derivatives, Prime Brokerage , Futures, Listed Derivs, FXPB) where Citi has a… more
- JPMorgan Chase (Newark, DE)
- …Lending, Financing and Margin Solution **Job Summary:** As a Fixed Income Prime Brokerage Settlement Analyst in Prime Financial Services, you will be the ... client's needs. The range of services typically available to our Prime Brokerage clients are Global Custody (including Clearing, Custody and Asset Servicing),… more
- Anywhere Real Estate (Peoria, IL)
- …International Realty(R) (https://www.sothebysrealty.com/eng) The Anywhere portfolio includes franchise and brokerage operations as well as national title, ... International Realty(R) (https://www.sothebysrealty.com/eng) The Anywhere portfolio includes franchise and brokerage operations as well as national title,… more
- City National Bank (Los Angeles, CA)
- …+ Bachelor's Degree or equivalent + Minimum of 5 years of experience in Brokerage Operations , Broker Dealer Compliance, and Client Support for Broker Dealer ... **SR. COMPLIANCE ANALYST - BROKER DEALER INVESTMENT ADVISORY** **WHAT IS...Investment Advisory activity. Responsible for reviewing and approving new account documentation, trade blotters, written and electronic correspondence, and… more
- UMB Bank (Kansas City, MO)
- …well as sanctions set by the Office of Foreign Asset Control (OFAC). **UMBFS BSA/AML Analyst I** is an entry level position in the AML Division supporting the UMB ... Fund Services (UMBFS) AML program. The Analyst is responsible for learning how to perform analyses...reports. + Perform customer relationship reviews based on new account opening, higher risk attributes, and/or other relationships identified… more
- Atria Wealth Solutions (Houston, TX)
- …- USA Compensation: 70,000 - 85,000 Position Purpose: The Senior Compliance Analyst assists the firm in mitigating certain risk conditions associated with client ... firm's regulatory obligations by providing oversight of the day-to-day Broker/Dealer operations to identify and resolve compliance deficiencies, thereby enabling the… more
- Guidehouse (Lewisville, TX)
- …Required** **:** None **What You Will Do** **:** The responsibilities of the Analyst will include, but are not limited to: + Performing AML alert/case reviews, ... to end understanding of Transaction Monitoring/ KYC/ Screening/ Fraud Operations /Jurisdiction specific SAR filing/Narrative from documentary and non-documentary verification… more
- US Tech Solutions (Baltimore, MD)
- …experience with Legacy Brokerage internal systems is preferred + Previous New Account experience is preferred + Proven ability to learn other software packages + ... Detail-oriented, Customer Service, Excellent Communication **Position Description:** The New Account Document Processing Department consists of Regulatory, Policy and… more
- WTW (Boston, MA)
- …with health and welfare plans, ideally gained in a benefit consulting/ brokerage firm, Health Plan, Third Party Administrator, Regulatory Agency, Legal/Compliance ... credentialing, quality management, pharmacy prior-authorization processes and health plan operations + Basic understanding of Mental Health Parity and Mental… more
- Nestle (Rogers, AR)
- …teams + Direct management and personal development of 1 direct report (Customer Account Analyst ). + Challenges and inspires cross functional team members to ... in leadership, and teamwork to achieve business results + Provides leadership to brokerage counterparts, field Sales Operations teams and partners via ongoing… more
- Thrivent Financial (Germantown, WI)
- Summary The Director of Dedicated Planning Operations position will oversee the planning department including all team members, procedures and processes for the ... by tasking to CSA for processing + Track cash balances for retirement account decumulation + Track tax planning elements through year to provide insights during… more
- Robert Half Accountemps (Tacoma, WA)
- Description Job Description: We are seeking a Compliance Analyst to join our team. The ideal candidate is an experienced Bookkeeper/AR/AP professional, Kasia Lopez, ... our financial efficiency. Responsibilities: + Monitoring and analyzing business operations to ensure compliance with applicable laws, rules and regulations.… more
- CBRE (Columbus, OH)
- …Research, Risk Management, Sales & Leasing, Sales Support, Sales/ Brokerage , Town Planning, Transaction Management, Valuations/Appraisal, Workplace Strategy ... real estate a significant contributor to organizational productivity and performance. Our account management model is at the heart of our client-centric approach to… more