- Marex (New York, NY)
- …Serve as a subject matter expert ("SME") on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… 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
- BMO Financial Group (New York, NY)
- … dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have ... dealt with trading intricacies and have showcased a comprehensive grasp of the industry, this might be the perfect opportunity for you. Develops or maintains an effective financial governance and controls framework that defines the ways and methods governance… 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 all ... Multiple Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies,… more
- Bank of America (Charlotte, NC)
- …and other MS Office products. **Desired Qualifications** : + Understanding of US Broker Dealer business, operations , and/or regulatory environment. + ... Broker - Dealer Customer Protection Program Lead Charlotte,...(CACG) Americas (AMRS) region. CACG is a Global Markets Operations team which provides front-to-back oversight of customer protection… more
- Huntington National Bank (Chicago, IL)
- …the 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 preparing journal entries, reconciling GL accounts, summarizing and analyzing daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison to both internal and external audits. This position will… more
- Marex (New York, NY)
- …+ Serve as a subject matter expert on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… more
- Huntington National Bank (Columbus, OH)
- …more years municipal underwriting operations , fixed income operations , or similar broker dealer operations experience + High School diploma with 9 ... underwriting operations , fixed income operations , or similar broker dealer operations experience Preferred Qualifications: + FINRA Series 52 or… more
- Charles Schwab (Westlake, TX)
- …liquidity and collateral requirements + Extensive experience and knowledge required in broker / dealer operations + Experienced with treasury functions ... and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for… more
- SolomonEdwards (Albany, NY)
- …Oversight Consultant to join a leading national financial services organization with significant broker / dealer operations . This hands-on role will lead the ... apply guidelines in practice. * Experience in: o First line operations (1LOD) for broker / dealer or non-deposit investment products (ideal), and/or o Second… more
- Kestra Financial (West Hartford, CT)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... products, and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Develop Centers of Influences such as… more
- M&T Bank (Boston, MA)
- …of 5 years of relevant work experience, such as in compliance, trading or broker - dealer operations + Strong analytical and problem-solving skills, as well ... **Overview:** M&T Securities, Inc. is the institutional broker - dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role… 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
- Raymond James Financial, Inc. (New York, NY)
- …as a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable ... the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates and division of responsibilities within the… more
- Principal Financial Group (Modesto, CA)
- …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
- 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 (Knoxville, TN)
- …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
- 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 ... and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, and financial… 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
- Kestra Financial (Beaver, PA)
- …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
Related Job Searches:
Broker,
Broker Dealer,
Broker Dealer Operations Finra,
Broker Dealer Operations Manager,
Broker Dealer Operations Specialist,
Broker Operations,
Dealer,
Operations