- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and...hoc reports requested within business line + Work with audit or risk colleagues to provide information and test… more
- Charles Schwab (Westlake, TX)
- …enterprise team is seeking a Senior Auditor (Senior Specialist ). The Broker - Dealer /Asset Management team provides internal audit coverage of the ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit … 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 ... external financial reporting and accounting for Comerica Securities, a FINRA regulated broker - dealer and a subsidiary of Comerica, Inc. Inaccurate reporting or… 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
- Bloomberg (New York, NY)
- …and financial planning & analysis within the financial services industry + Knowledge of broker dealer , MTF, ATS, APA or ARM or any regulated industry. + ... Financial Specialist - Capital & Liquidity (CFO Regulated Entities)...and board packs + Oversight of the annual external audit , regulatory audits and the annual and quarterly financial… more
- Adecco US, Inc. (Charlotte, NC)
- …Diploma Experience requirements: + Previous experience with funding and wires + Trading/ Broker / Dealer experience needed + Advanced MS Excel skills + Strong ... of its clients in their search for an **Operations Specialist ** **in Charlotte, NC!** Pay rate: $ 18.10/hr Shift...across multiple firm cash payment systems. + Assisting with Audit , OFAC, and other regulatory related inquiries. + Manage… more