- AUROBINDO (Durham, NC)
- …documentation has been provided to APUSA and submit the Pre-alert documents to broker to expedite receipt of incoming product through customs and the FDA. The ... service, increasing efficiency and performance of department.Continuous improve warehouse operations .Deviation writing as required for warehouse incidents.Administrative duties as… more
- Marex (New York, NY)
- …as a subject matter expert ("SME") on products, regulatory reporting, and broker -dealer operations by maintaining proficient knowledge of applicable functions. + ... Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed… 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 knowledge ... and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… 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
- 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 is… more
- Bank of America (Charlotte, NC)
- …other MS Office products. **Desired Qualifications** : + Understanding of US Broker Dealer business, operations , and/or regulatory environment. + Knowledge of ... Broker -Dealer Customer Protection Program Lead Charlotte, North Carolina...(CACG) Americas (AMRS) region. CACG is a Global Markets Operations team which provides front-to-back oversight of customer protection… more
- Amazon (Bellevue, WA)
- …AWS Infrastructure is looking for a talented, driven, and highly analytical, Broker Operations Manager with demonstrated experience driving process improvement. ... This Manager will be responsible for on-going broker operations management and strategic development of the next generation of customs operations and… more
- Huntington National Bank (Columbus, OH)
- …degree + 5 or more years municipal underwriting operations , fixed income operations , or similar broker dealer operations experience + High School ... 9 years of experience/education in municipal underwriting operations , fixed income operations , or similar broker dealer operations experience Preferred… 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 functions. + ... Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US Broker … more
- USAA (San Antonio, TX)
- …Subject-matter-expert level of business acumen in the areas of annuity business operations , broker dealer sales processes and paperwork, sales suitability, ... + 3 or more years of experience in annuity operations support and service, preferably within a broker... operations support and service, preferably within a broker -dealer or insurance company utilizing third-party annuities distribution. +… more
- Raymond James Financial, Inc. (New York, NY)
- …a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable regulations ... the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates and division of responsibilities within the… more
- Huntington National Bank (Chicago, IL)
- …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 also… more
- SolomonEdwards (Albany, NY)
- …Consultant to join a leading national financial services organization with significant broker /dealer operations . This hands-on role will lead the design and ... apply guidelines in practice. * Experience in: o First line operations (1LOD) for broker /dealer or non-deposit investment products (ideal), and/or o Second line… more
- Kestra Financial (West Hartford, CT)
- …in the financial services industry allowing for a strong understanding of broker /dealer operations and financial services products, including but not limited ... services, 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 as ... **Overview:** M&T Securities, Inc. is the institutional broker -dealer affiliate of M&T Bank. As a member...FINRA, SEC, and other SRO rules as applicable to broker -dealer activities. + Assist in review of controls in… more
- Construction Specialties, Inc. (Lebanon, NJ)
- …Canadian/Mexican/United States item classifications. Primary point of contact for Customs broker daily operations . Handles record keeping, operational control, ... studying and passing the test to get a Customs Broker License someday. + Works with Trade Compliance Analyst...Assists Coordinator team in resolving transactional issues with Customs Broker or freight forwarder. + Operates in compliance with… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …* Advanced concepts, principles and practices of assigned functional area. * Broker /dealer operations . **Skill in:** * Identifying the needs of customers ... or national level. Serves as the Home Office sales contact for broker /dealers, Financial Advisors or executives desiring to learn about the department's services… more
- Kestra Financial (Sewickley, PA)
- …in the financial services industry allowing for a strong understanding of broker /dealer operations and financial services products, including but not limited ... products and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a demonstration… more
- Kestra Financial (Raleigh, NC)
- …in the financial services industry allowing for a good understanding of broker /dealer operations and financial services products, including but not limited ... in the back-office functioning of our firm. With responsibility for the day-to-day operations of the firm, the Client Service Associate helps keep the office running… more
- The Hartford (Alpharetta, GA)
- …+ Prepares submissions for rating and acts as the gatekeeper between the Broker , Underwriter and the Operations Service Center Underwriting Support + Performs ... Thursday). The Account Manager, as part of Global Specialty Operations , will serve as a critical partner to the...based vendors. (Genius knowledge a plus but not required) Broker Management & Client Relations + Serve as a… more
