- 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
- 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
- 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...adjustments and reconciliation packages. **Requirements:** + Undergraduate Degree required; FINRA Series 99 and/or 7 preferred. + Minimum 3+… 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
- 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 ... clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level… 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 ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to...securities, blockchain technology, and the broader crypto economy * FINRA Series 99 or 7 license, or willingness to… more
- Coinbase (Madison, WI)
- …business. This role will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… 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, ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational...partners and work well in a team environment + FINRA SIE and Series 99 + Detail oriented with… more
- Santander US (Miami, FL)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... * Support onboarding of new processes or products into Operations with robust controls and documentation. **What You Bring:**...risks. Capable of learning back up controls for the Broker Dealer where needed. Knowledge of Sentinel/Bloomberg.… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... Management and Consolidated US Operations (CUSO) Resolution Planning. Reporting directly to the Treasurer,...the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and… more
- Atria Wealth Solutions (Vancouver, WA)
- …the insurance and securities industry. + Maintain continuing education and legal requirements of FINRA , State Insurance, broker dealer and Columbia CU. + ... NCUA and Investments and Insurance Group's non-NCUA marketing and operations in assigned branches. REQUIREMENTS + Minimum 5-7 years...Union and registered through CUSO Financial Services, LP, (Member FINRA /SIPC). CFS is a broker - dealer … more
- Atria Wealth Solutions (Dublin, CA)
- …To learn more about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a registered broker - dealer and SEC Registered Investment ... measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each...and regulatory requirements. + Ensure that the goals and operations of the Patelco Financial Solutions aligns with the… more
- Atria Wealth Solutions (King, NC)
- …by OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker / dealer . + Accountable for meeting annual business ... have the following abilities: to read, to perform arithmetic operations quickly and accurately; to see details and recognize...and registered through CUSO Financial Services, LP (CFS). Member FINRA /SIPC. CFS is a broker / dealer … more
- Vanguard (Malvern, PA)
- …supporting client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA , OCC) and overseeing ... Overview The Head of Brokerage Trade Operations is responsible for leading Margin, Securities Lending,...Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness,… more
- CIBC (New York, NY)
- …FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- TD Bank (Hartford, CT)
- …+ 3+ years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of ... **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or...May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards… more
- TD Bank (Melville, NY)
- …+ 5+ years industry experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of ... **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic...May (or may not) be a registered position under FINRA . + Must be eligible for employment under standards… more
- TD Bank (Marlton, NJ)
- …to obtain additional licensing, as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services… more
