- Fidelity TalentSource LLC (Boston, MA)
- …function, bridging expertise across balance sheet and treasury management, broker - dealer regulatory requirements, securities finance products, lending products, ... their revenue drivers and funding costsExperience with and understanding of broker - dealer balance sheet management, regulatory capital implications associated… more
- Fidelity TalentSource LLC (Boston, MA)
- …Financial and Fidelity Brokerage Services, as well as for correspondent client broker - dealer firms. \u00A0\u00A0The Director is responsible for understanding the ... you want to be part of a highly collaborative, cross -functional team committed to ensuring the accuracy of the...understanding of trade and position reporting requirements of a broker / dealer including but not limited to CAT,… more
- Russell Tobin & Associates (New York, NY)
- …Desirable but not required - product inductions and training will be provided. Dealer -board / Turret technologies (IPC Unigy, Broker lines, hoot bridges) ... Third Line escalation. Create reports for Trading Voice Recording Operations and Senior Management teams. Compliance and Litigation Team support with data search,… more
- Scotiabank (New York, NY)
- Director, SCUSA CCO, Head of Broker Dealer & Corporate Functions Compliance **Requisition ID:** 199204 **Salary Range:** 174,700.00 - 286,000.00 _Please note ... energy, foreign exchange and precious & metals. We also cross -sell the full range of wholesale products and services...Acts as the Chief Compliance Officer for the US broker dealer and Head of Corporate Functions… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- Charles Schwab (Westlake, TX)
- …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... interpersonal and management skills with the demonstrated ability to build cross -functional relationships and to interact effectively with senior management;… more
- Citigroup (New York, NY)
- …risk and governance programs that meet regulatory expectations, for example US Broker - Dealer Supervision Rules (FINRA 3110, 3120, etc,) and, or Prudential ... with Prudential Bank Regulations. The role will interact extensively with senior management across the Global Equities business, central Markets teams, Independent… more
- Federal Reserve System (Philadelphia, PA)
- …project management, first and second line controls, internal audit, compliance, broker / dealer activities, and common governance, reporting, and monitoring ... skills. The following job descriptions details the requirements for a LFBO Senior Specialist - Examinations. Applicants with less experience or education may be… 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 is...maintains records of materials removed from files. May prepare indexing/ cross -referencing aids. Make routine checks and comparisons of data… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/ Broker - Dealer /Swap Dealer Reporting to the ... of business controls established to ensure adherence with US broker - dealer and US swap dealer ...completion and escalate past-due item + Develop relationships with senior management and other key internal contacts, including Management… more
- Raymond James Financial, Inc. (Baltimore, MD)
- …traded on the New York Stock Exchange (RJF)._ _Through its three broker / dealer subsidiaries, Raymond James Financial has approximately 8,600 financial advisors ... on-going data feeds and development. **Essential Duties and Responsibilities** * Partners with cross site peers and managers to identify firmwide needs * Works in… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …edits, and negotiates third-party agreements including those critical to the operation of a broker - dealer and a bank holding company. * Advises on privacy and ... contracts with particular focus on contracts required for the operation of a broker - dealer and bank holding companyManaging a heavy volume of complex corporate… more
- Atria Wealth Solutions (Austin, TX)
- …rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Represent the firm and assigned financial institution in relationships ... registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of… more
- Atria Wealth Solutions (Berkeley, CA)
- …rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Represents the firm and assigned financial institution in relationships ... registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of… more
- Atria Wealth Solutions (Fort Worth, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... in the country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the… more
- Atria Wealth Solutions (Marion, IN)
- …registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of ... products and services offered through the credit union and cross -sell as the opportunity arises. + Records all sales,...CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker - dealer and Registered Investment Advisor with a… more
- Atria Wealth Solutions (Plano, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... in the country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the… more
- Atria Wealth Solutions (Cambridge, MA)
- …focused financial institution with an engaged member base complemented by large scale broker - dealer with nationwide scope. Y our in-depth knowledge of financial ... minimum supervision CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving… more
- Atria Wealth Solutions (San Rafael, CA)
- …and registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track record of serving the investment ... other credit union resources and departments as appropriate, including cross -selling RCU and RCUSG products and services. + Be...CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable track… more
- Atria Wealth Solutions (Pittsburgh, PA)
- …visit www.cusonet.com . CFS (Member FINRA (http://www.finra.org/) /SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving ... initiatives. Work with Financial Center Managers to identify and leverage cross -sell opportunities. + Services and performs periodic reviews of existing client… more
