- Societe Generale (Jersey City, NJ)
- …Knowledge of broker dealer accounting and finance Knowledge of broker dealer operations Adaptable; able to formulate reporting requirements for ... knowledge of SEA rules 15c3-1 and 15c3-3 7-10 years US Broker Dealer Regulatory reporting experience Education: Bachelor's degree in Finance, Accounting, or… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and clearing platform operations and practices. Billing systems and financial operations in a broker - dealer environment. Contract pricing structures and ... Job Description Job Summary The Operations & Billing Support Specialist plays...implementing unique pricing schedules for all RIA's and introducing broker dealers on the RCS platform, supporting fee collection… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes. Maintains product knowledge to assist with issues concerning various broker - dealer trades and investment products. Collaborates with cross-functional ... teams, including portfolio managers, operations , and compliance, to execute fee-related tasks and projects. Ensures adherence to both business continuity and quality… more
- Guardian Life (Holmdel, NJ)
- The Operations Specialist will serve as the expert on all aspects of our managed account model management, trading platform, annuity operations as well as ... Proposals, Multiple Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration… more
- Charles Schwab (Austin, 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
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior ... IT Auditor (Senior Specialist , Internal Audit - Technology is our internal title)...and objective assurance activity designed to improve the organization's operations and compliance with key regulations by evaluating and… more
- Adecco US, Inc. (Pennington, NJ)
- Adecco is assisting one of their top clients with their search to fill a ** Operations Specialist !** Pay: $ 22.12/hr Location: Hybrid (2 days at home, 3 at the ... the Branch Office network across Merrill. **Responsibilities for this Operations Specialist include but are not limited...finance a plus . Previous experience working for a broker dealer or supporting a financial advisory… more
- Guardian Life (Pittsfield, MA)
- As a Wealth Management Agency Operations Specialist , you will support Guardian Agencies with submitting new business and servicing wealth management accounts. ... detail oriented and possess excellent time management skills + Must understand broker dealer systems for account opening, asset movements, and order entry + Must… more
- Guardian Life (Bethlehem, PA)
- …on department projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong ... Guardian life is seeking an Advisor Transitions Specialist who will be a critical part of...office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for &… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and clearing platform operations and practices. + Billing systems and financial operations in a broker - dealer environment. + Contract pricing structures ... **Job Description** **Job Summary** The Operations & Billing Support Specialist plays...implementing unique pricing schedules for all RIA's and introducing broker dealers on the RCS platform, supporting fee collection… more
- Lincoln Financial (Omaha, NE)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... We are excited to bring on a Request for Proposal Specialistto join our Operations team supporting Workplace Solutions in our Omaha, NE; Atlanta, GA or Dover, NH… more
- TD Bank (New York, NY)
- …to 10 years of knowledge and experience in AML compliance, preferably within the broker - dealer industry at a large financial institution. + Excellent verbal and ... this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist , Transaction Monitoring & Investigations **Reports to:** Director, Financial… more
- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... 74717 **The Role at a Glance** As the Treasury Specialist - Cash Mangement, you will work within a...monitoring LFG's daily cash management transactions and cash forecasting operations in a near real time environment. You will… more
- Lincoln Financial (Radnor, PA)
- …and LVIP transfer agency oversight. **What you'll be doing** As Fund Administration and Operations - Specialist you will gain experience in: * Operational and ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Lincoln Financial (Trenton, NJ)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... #:** 74896 **The Role at a Glance** As a Specialist , you will consult, analyze, and deliver on more...with brokers & representatives. * Analyzes financial health, performance, operations , and personnel levels of customers to determine if… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …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 manner. + Operating… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Maintains product knowledge to assist with issues concerning various broker - dealer trades and investment products. + Collaborates with cross-functional ... teams, including portfolio managers, operations , and compliance, to execute fee-related tasks and projects. + Ensures adherence to both business continuity and… more
- Lincoln Financial (Omaha, NE)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... . Act as Business Resource for various teams within Fund Administration Operations (FAO). This includes assisting with issue resolution, special requests, process… more
- TD Bank (New York, NY)
- …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...philosophy and strategic direction. **BREADTH & DEPTH** + Senior specialist , works independently and is accountable for managing a… more
- City National Bank (Jersey City, NJ)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more
