- 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
- 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...banking services and regulatory requirements. + Serves as a specialist resource within BMO Capital Markets with advanced knowledge… 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
- TD Bank (White Plains, NY)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and ... + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or… more
- Wellington (New York, NY)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... matters, and strategic client initiatives. The successful candidate will join a specialist legal team that collaborates closely with our business and Compliance… more