- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker ... this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… 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
- Charles Schwab (Westlake, TX)
- …- Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist ). The Broker - Dealer /Asset Management team provides internal audit ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- Comerica (Frisco, TX)
- …FOCUS or OBS report submissions. * Maintain the general ledger for the broker dealer , including recording entries, performing a monthly close process and ... Financial Operations Accounting Lead Position serves as a team...reporting and accounting for Comerica Securities, a FINRA regulated broker - dealer and a subsidiary of Comerica, Inc.… more
- Wells Fargo (Charlotte, NC)
- …including approval of processes completed by other team members + Partner with vendors, Broker Dealer Operations , Middle Offices, and other stakeholders to ... **About this role:** Wells Fargo is seeking a Lead Institutional Investment Operations Specialist within our Tax Operations team as part of Corporate and… more
- TD Bank (Greenville, SC)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The US Wealth Operations Specialist I is an introductory role to Wealth that performs ... of accounting entries and procedures + Knowledge of trust operations processes + Strong arithmetic skills + Strong organizational...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Bank of America (Phoenix, AZ)
- …controls, client behavior and transaction trends + Identify potentially suspicious broker - dealer activity such as insider trading, market abuse/market ... Global Financial Crimes Specialist Pennington, New Jersey;Charlotte, North Carolina; Phoenix, Arizona...Microsoft Office Products including advanced knowledge of Excel + Broker / Dealer industry experience **Shift:** 1st shift (United… more
- Fifth Third Bank, NA (OH)
- …Performs brokerage and insurance regulatory sales supervision functions for the broker - dealer and insurance agency subsidiaries of the Bancorp. Mitigate ... processes including rollovers, securities and / or insurance transactions for the broker - dealer , investment advisor and insurance agency. + Determines whether… more
- AutoNation, Inc. (Fort Worth, TX)
- …Renault, Tata, Zhejiang Geely, ZGH, Service Department, Fixed Ops, Fixed Operations , Customer Care, After-Sales, After Sales, Customer Service, Call Center, Sales ... Representative, Call Center Representative, Customer Specialist , BDC, Internet Sales, Car Sales, Inbound Call Center, Outbound Call Center, Automotive Sales, Car… more
- City National Bank (El Segundo, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... **ADMINISTRATIVE SPECIALIST SENIOR** **WHAT IS THE OPPORTUNITY?** This person...reports, etc.) and organizing into specified/established format. Performs various operations (eg, mathematical calculations, sorting data, etc.) on information… more
- Truist (Charlotte, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... of experience in brokerage with an emphasis in compliance, operations or supervisory function 2. Strong written and oral...and thorough knowledge of retail rules and regulations and operations 4. **Series 7, 66 or (63/65), 24 and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and reports. * Maintains product knowledge in order to assist with various broker dealer trades. * Builds relationships with members of cross-functional areas ... approved by Human Resources. **Licenses/Certifications:** * None required. **Job:** Operations **Primary Location:** US-FL-St. Petersburg-Saint Petersburg **Organization** Asset Management… more
- Raymond James Financial, Inc. (Troy, MI)
- …the securities industry.** **Financial markets and products.** **Principles of finance and broker / dealer operations .** **Skill in:** **Oral and written ... communication.** **Assessing, analyzing, and explaining market events on assigned investment products.** **Identifying and responding to client needs.** **Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely… more
- Atria Wealth Solutions (Syracuse, NY)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... institutions and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent financial… more
- AutoNation, Inc. (Davie, FL)
- …the service department to achieve these goals without disrupting our service operations or the customer experience. The Equity Mining Sales Associate interacts with ... sales, internet sales, fleet, manager, telemarketer, telemarketing, public relations, broker , finance, financial advisor, retail, truck, trucks, commercial, job… more