- Guardian Life (New York, NY)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You ... technology + Collaborate with various internal departments including compliance, licensing, operations , and our internal clearing firm **You have** + Knowledge of… more
- Vanguard (Charlotte, NC)
- …of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments ... of compliance experience in financial services, with at least 2 years in broker - dealer or banking-like operations . + Proven experience with cash products and… more
- CIBC (New York, NY)
- …FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- MUFG (New York, NY)
- …the technical bridge between operations and the technology that powers our broker dealer settlement engine. This role requires deep expertise in trade flows, ... to translate complex technical concepts into actionable guidance for operations staff. This specialist will ensure settlement...financial operations roles. * Deep knowledge of broker dealer products (equities, fixed income, ABS,… more
- Lincoln Financial (Hartford, CT)
- …at a Glance** We are excited to bring on a **Complex Corrections & Suspense Operations Specialist ** to join our Retirement Plan Services business in a work from ... are seeking a highly skilled and detail-oriented Complex Corrections & Suspense Operations Specialist to provide strategic oversight and subject matter expertise… more
- Lincoln Financial (Fort Wayne, IN)
- …LVIP transfer agency oversight. **What you'll be doing** **As Fund Administration and Operations - Specialist you will gain experience in:** + Operational and ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Guardian Life (Bethlehem, PA)
- As a Wealth Management Agency Operations Specialist , you will support Guardian Agencies with submitting new business and servicing wealth management accounts. ... detail oriented and possess excellent time management skills + Must understand broker dealer systems for account opening, asset movements, and order entry + Must… more
- Lincoln Financial (Radnor, PA)
- …**Requisition #:** 74955 **The Role at a Glance** As a Digital Platform Specialist , you will perform foundational digital platform operations with increasing ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... at a Glance: As a Product & Digital Data Specialist , you will perform and deliver on assignments/projects while...Leadership * Provides research and analysis to support business operations and presents findings to various stakeholders. * Utilizes… more
- PNC (Cleveland, OH)
- …this role will also support business analysis and project work within the broker - dealer risk organization. The individual will partner across teams on a ... an opportunity to contribute to the company's success. As a(n) LOB Risk Specialist Senior within PNC's Retail Risk organization, you will be based in Pittsburgh,… more
- Truist (Tampa, FL)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... knowledge of retail brokerage and investment advisory industry rules, regulations and operations . + Strong organizational skills and the ability to multi-task. +… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Maintains product knowledge to assist with issues concerning various broker - dealer trades and investment products. + Collaborates with cross-functional ... teams, including portfolio managers, operations , and compliance, to execute fee-related tasks and projects. + Ensures adherence to both business continuity and… more
- City National Bank (Charlotte, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk). Additionally, the position is responsible for...Or * CFIRS - Certified Fiduciary and Investment Risk Specialist Or * CFA - Charter Financial Analyst Or… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... motivated hands-on technical individual to join our Network Delivery Operations Team. You will play an integral part in...and Switching or Data Center + Symantec (Bluecoat) Certified Specialist (SCS) + Palo Alto Certified Network Security Engineer… more