- Coinbase (Juneau, AK)
- …regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to...function to support our equities trading product. As a Manager , you will both lead and directly contribute to… more
- Capital One (Mclean, VA)
- Manager , Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with ... highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA)… more
- BMO Financial Group (New York, NY)
- …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance… more
- Guardian Life (Bethlehem, PA)
- 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 will ... internal partners on various functions including advisor as portfolio manager , multi-account/strategy proposals, and trading methodologies + Proactively and… more
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... L. P. (CFS) Patelco Credit Union is seeking a Manager , Investment Services Program in the Dublin, CA areas....Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between… more
- PNC (Pittsburgh, PA)
- …all geographic locations. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad… more
- TD Bank (Portland, ME)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
- Atria Wealth Solutions (Vancouver, WA)
- …with non-deposit investment and insurance products as registered and licensed by a third-party broker dealer under agreement with Columbia CU. + Using only the ... broker dealer 's approved product list, provide investment...goals. + As requested and approved by the Program Manager | VP Investments and Insurance Group, conduct and/or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …an alternative fund (eg, hedge fund, private equity fund, etc.) or another broker dealer 's alternative investment department ~or~ * Any equivalent combination of ... of investment support. Partners with the Alternative Investments Group ("AIG") Operations team, Raymond James Financial Advisors, senior leadership within both GWS… more
- Charles Schwab (Westlake, TX)
- …experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital to ... be in the office 4 days a week. The ** Manager of Treasury Settlement Services** (TSS) is primarily responsible...in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived ... * OPERATIONS ANALYST* WHAT IS THE OPPORTUNITY? Provides operational...* 3 to 5 years of experience in a broker dealer or investment industry * Minimum… more
- MUFG (New York, NY)
- …including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + **Product Knowledge:** Expertise with a broad range ... and rewarding landscape. **About the Role:** As Business Analyst Manager , you will lead a team of Business Analysts,...services industry, preferably in a relevant role within a Broker / Dealer or similar organization. + Demonstrated ability… more
- JPMorgan Chase (New York, NY)
- Join the Foreign Banks and Broker Dealer Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group - Foreign Banks and ... Broker Dealer segments, you will be primarily...Banking coverage officers. + Collaborate with client service, compliance, operations , technology, risk, credit, legal in order to optimize… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and complexity with significant scope and impact focused on the firm's broker - dealer and investment advisory activities. Assesses risk within assigned internal ... **Job Summary:** The Senior Manager - Internal Audit role operates under general...especially those associated with the registered investment advisory and broker - dealer divisions * Knowledge and understanding of… more
- Citizens (San Francisco, CA)
- …5 years' experience in Fixed Income Sales & Trading compliance at a FINRA registered broker dealer . + In-depth knowledge of SEC and FINRA rules (trade reporting, ... subsidiary of Citizens Financial Group, operates as a FINRA-registered institutional broker - dealer offering comprehensive services in M&A advisory, investment… more
- NatWest Markets (Stamford, CT)
- …regulations and best practice first line procedures and processes for a US broker - dealer . + In-depth knowledge of pre-trade client onboarding processes related ... US Client Services and Onboarding, Manager LocationStamford,United States Job typePermanent Contract typeFull Time...may be assigned as necessary to ensure the proper operations of the department and the business_ **US Client… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... other meetings + Work closely with business unit risk manager across the lifecycle of the Issue Management process...Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls… 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, ... *AUDIT MANAGER II- WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY?...Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk). Additionally, the position is responsible for… more