- NatWest Markets (Stamford, CT)
- …and reconciliation processing. + Familiarity with US regulatory requirements specific to Broker Dealer Operations . + Solid understanding of general ... Operations Supervisor - Investment Banking LocationStamford,United States Job...may be assigned as necessary to ensure the proper operations of the department and the business._ **Overview:** The… more
- Principal Financial Group (Lake Oswego, OR)
- …a related field preferred. + 2+ years of related work experience in life insurance/ broker - dealer or RIA operations : client service, account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level… more
- HSBC (New York, NY)
- …Direct and navigate the liquidity teams covering entities in the US (Bank and Broker Dealer ), Mexico, Chile and Brazil. You will have responsibility for setting ... banking and financial services organisations in the world, with operations in 57 countries and territories. We aim to...including specific liquidity experience and a solid understanding of Broker Dealer activity + Experience of directing,… more
- Neuberger Berman (New York, NY)
- …to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the implementation of ... and leading high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory… more
- DWS Group (New York, NY)
- …requirements and internal controls. Collaborate and build relationships with broker - dealer counterparties, issuers and other key industry stakeholders. ... Negotiate and execute trades with broker -dealers through low-touch and high-touch channels. Contribute to the enhancement of existing trading processes and utilize… more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... **Qualifications and Skills** + 2-5 years experience working in training operations , project management or training administration in a regulated / financial… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is...an extension of the broader New York based Securities Operations team. The role reports to the Head of… more
- NatWest Markets (Stamford, CT)
- …Manager role + Experience in financial markets or investment banking is required; Broker - Dealer experience is a strong plus + Demonstrated experience in ... Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business._ As an Audit Manager, you'll serve as a… more
- Coinbase (Harrisburg, PA)
- …We are seeking a highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and ... growth. *What you'll be doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our equities trading product. As a… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- Huntington National Bank (Columbus, OH)
- …(HSI) New Account Onboarding Specialist 2 is responsible for supporting institutional broker dealer operations including client onboarding, asset movement, ... this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more
- Kestra Financial (Sewickley, PA)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a demonstration… more
- Robert Half Office Team (Columbus, OH)
- …position offers the opportunity to work in a dynamic environment supporting institutional broker dealer operations , focusing on client onboarding, asset ... Description We are looking for a skilled Operations Associate III to join our client's team...one year of experience in brokerage or investment onboarding operations . * Proficiency in using DocuSign for sending and… more
- Kestra Financial (Raleigh, NC)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Kestra Financial (Kings Park, NY)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Raymond James Financial, Inc. (Springfield, IL)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations . **Skill in:** * Identifying the needs of ... * Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. * Works… more
- Robert Half Accountemps (Columbus, OH)
- …to join our Operations team. In this role, you will support broker - dealer operations by managing institutional client onboarding, processing asset ... This is a great opportunity for someone with brokerage or investment operations experience who thrives in a fast-paced, collaborative environment and is looking… more
- Kestra Financial (San Antonio, TX)
- …5+ years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, ... directly to the Financial Planner and manages the firm's client service operations , overseeing support staff and enhancing the client experience through proactive… more
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