- SMBC (Jersey City, NJ)
- …5 years of specialized experience in Financial Services , 2 + years Financial Reporting ( broker dealer experience is a strong plus) + Education: BA/BS ... be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services to… more
- Kestra Financial (Beaver, PA)
- … services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Manulife (Boston, MA)
- …have 5+ years of broker - dealer compliance experience or comparable financial services industry experience. + The candidate must have extensive knowledge ... Services LLC ("MJHBS") and John Hancock Personal Financial Services , LLC ("JHPFS"). JHD and JHIMD...and understanding of broker dealer securities regulation (investment adviser/investment company… more
- Marex (New York, NY)
- …of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity,...in line with below responsibilities: + Provide Compliance Advisory services to broker - dealer business lines.… more
- Kestra Financial (Sewickley, PA)
- … services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... of the industry - financial planning software, analytical tools and broker / dealer or custodian systems Education and/or Experience + Bachelor's degree in… more
- Citigroup (New York, NY)
- …mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn ... **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is...corporations, governments and institutions with a broad range of financial products and services , including consumer banking… more
- Kestra Financial (West Hartford, CT)
- … financial services industry with a strong understanding of broker / dealer operations and financial services products, including but not limited ... duties as assigned Knowledge, Skills, and/or Abilities + Strong understanding of the financial services industry and diverse investment products + Basic computer… more
- Kestra Financial (Fort Worth, TX)
- … services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... servicing. This position requires a strong understanding of the financial services industry and products, and is...large book of business including managing client needs regarding service , asset allocation, case design and financial … more
- Charles Schwab (Lone Tree, CO)
- …needs. **What you have** + 3 - 5+ years of financial services -related audit experience with growing responsibility. Broker Dealer /Asset Management ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit cards, and consumer finance. ... 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer and or swap dealer… more
- Citigroup (Tampa, FL)
- The current opening is for a candidate to join the CRO team of Citi's US Broker Dealer legal entity. The objective of the role is to support the CRO across ... various aspects in managing the US Broker Dealer and its related activities as...Technical Skills + 4+ years of experience in the Financial Services industry, specifically in counterparty credit… more
- Wells Fargo (West Des Moines, IA)
- …risk. + Experience with assessing risk and controls related to Travel Rule and/or Broker Dealer compliance. **Job Expectations:** + Ability to travel up to 10% ... is seeking an Exeuctive Director, Audit Manager on the Financial Crimes Audit Team. The Financial Crimes...risk based, and executed according to Wells Fargo Audit Services policies and guidance + Assist in planning and… more
- Charles Schwab (Westlake, TX)
- …Demonstrated detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . * Regulatory financial reporting, and experience in ... the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios...treasury management and oversight * Experienced with financial systems and financial data * Hands-on,… more
- KeyBank (Lea County, NM)
- …in financial services , with direct exposure to brokerage and swap dealer operations. + Strong understanding of introducing broker - dealer models and ... supports both the back-office operations of a registered swap dealer and the middle office operations of an introducing... and the middle office operations of an introducing broker . The consultant will drive process improvements, ensure regulatory… more
- Kestra Financial (Raleigh, NC)
- … services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Principal Financial Group (Des Moines, IA)
- …a personal and professional level. Together, we're imagining a more purpose-led future for financial services - and that starts with you. Our success depends on ... to lead regulatory examinations, and to assist our retail broker - dealer with its legal needs. This attorney...legal advice concerning the offering and sale of securities, financial products and advisory services to retail… more
- Kestra Financial (Kings Park, NY)
- …financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic financial ... Summary The Client Service Associate reports to the Financial ...keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account… more
- JPMorgan Chase (Washington, DC)
- …in the Maryland and District of Columbia regions, specifically within the Independent Broker Dealer (IBD) channel. Your role will involve promoting and expanding ... JP Morgan Asset Management is committed to providing exceptional service to our clients and business partners. Our sales...else. + Build and maintain the trust of the financial advisors we work with. + Foster partnerships both… more
- Huntington National Bank (Columbus, OH)
- …Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations. The role will be responsible for ... daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison...Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- … Advisors across all 50 states. Dunham is an independently owned, registered Broker / Dealer helping Financial Advisors and individual investors reach their ... Inc. and its subsidiaries (collectively, "Dunham") is a thought leader in the financial services industry. The way we work is a direct reflection of our company… more
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