- Capital One (New York, NY)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk ... experience** **Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... or more years of experience with a registered US broker dealer or regulator. + JD desirable...you identify opportunities that support your goals. **Training & Onboarding ** We will provide training and onboarding … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Capital One (Plano, TX)
- Capital Markets Senior Associate Are you looking for a challenging role...or 99 license + 4+ years of experience in Broker Dealer + 4+ years of experience ... causing trades not to settle + Work with clearing broker and client back offices to ensure accurate bookings...record keeping management of customer files + M&A deal onboarding ; deal closing; deal archiving + M&A deal regulatory… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking a Business Execution Associate to join our Platform Trading Coaching and Support group within Wealth & Investment… more
- BlackRock (Boston, MA)
- …positioning BlackRock's suite of AI products with advisors across the Wirehouse, Independent Broker Dealer , and RIA segments. They will be focused on delivering ... you can count on this hybrid model to accelerate your learning and onboarding experience here at BlackRock. **About BlackRock** At BlackRock, we are all connected… more
- TD Bank (Portland, ME)
- …the expertise of other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... skills to qualify for the role of Financial Advisor Associate (FAA) in the expected time frame. Once the...you identify opportunities that support your goals. **Training & Onboarding ** We will provide training and onboarding … more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …managing recruitment teams and working with independent advisors or broker - dealer environments preferred. **Licenses/Certifications** SIE required (unless ... expanding the firm's reach, improving recruitment outcomes, and developing team capabilities. Associate in this role will be located on the East Coast. **Essential… more
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