- Northwestern Mutual Life Insurance Company (Franklin, WI)
- …areas of product, pricing, marketing, customer preferences, marketplace standards, broker - dealer offerings, future trends, and servicing. Demonstrated project ... rules, laws, and regulations as they apply to investment operations . Liaison for regulatory audits, internal audits, and legal...People management experience with proven leadership and decision-making skills. FINRA Series 7 and 24 are a must .… more
- Oppenheimer & Co. Inc. (Scottsdale, AZ)
- …& Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker - dealer . With roots tracing back to 1881, the Company is engaged in ... management services. Job Description : The firm is seeking a Branch Senior Operations Specialistto join their Private Client Branch office in Scottsdale, AZ. This… more
- Oppenheimer & Co. Inc. (Jericho, NY)
- …& Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker - dealer . With roots tracing back to 1881, the Company is engaged in ... Job Description : The firm is seeking a Branch Operations Specialistto join their Private Client Branch office in...relevant experience Must have or is willing to obtain FINRA Registrations: SIE and Series 99 or Series 7… more
- Fidelity Investments (New York, NY)
- …a defined set of clearing and custody prospective clients and influencers in the broker dealer , bank, and retirement segments. The role focuses on engaging ... including strategic acquirers and professional asset managers, retirement recordkeepers, broker - dealer firms, banks, insurance companies, family offices and… more
- Millennium Management LLC (New York, NY)
- …of the regulatory requirements for a Futures Clearing Merchant ("FCM") or Broker / Dealer . Experience with the rules and requirements for an FCM, ... Ensure compliance with net capital requirements of the FCM in accordance with the FINRA Net Capital Rule 15c3-1 by: a. Having an in-depth understanding of the net… more
- National Life Group (Montpelier, VT)
- …and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA /SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate ... policy development. Advise and consult with business units, including Operations and Distribution, regarding regulatory developments and requirements. Provide input… more
- BMO Financial Group (New York, NY)
- …experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/ FINRA regulations. If you have dealt with ... this is a hybrid position that requires four days onsite at our New York office. Our ideal candidate has a SEC/ FINRA examiner background with broker dealer … more
- 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
- Huntington National Bank (Columbus, OH)
- …, fixed income operations , or similar broker dealer operations experience Preferred Qualifications: + FINRA Series 52 or ability to obtain within ... municipal underwriting operations , fixed income operations , or similar broker dealer operations experience + High School diploma with 9 years of… more
- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (… more
- Principal Financial Group (Des Moines, IA)
- …financial services industry, with extensive senior-level expertise in broker - dealer and investment advisor compliance, risk management, operations , ... We're seeking an accomplished leader to oversee our Individual Solutions RIA and Broker - Dealer Supervisory Program. This high-impact role reports directly to the… 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
- PNC (Chicago, IL)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... services designed to add value and recommend improvement to the organization's operations . Using cutting edge technology, you would participate in a collaborative… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Wealth Management and Products Solutions clients, including Advisors, Sales Management, Operations , Risk, and Controls, as needed. You will work closely with… 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
- 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
- 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
- MUFG (New York, NY)
- …or a related field. + 8+ years of progressive experience within a broker - dealer back-office or equivalent financial operations role. + Extensive ... flows, securities processing, vendor management, and settlement processes within the broker - dealer environment. The ideal candidate will possess a comprehensive… more
