- Guardian Life (New York, NY)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You ... technology + Collaborate with various internal departments including compliance, licensing, operations , and our internal clearing firm **You have** + Knowledge of… 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
- MUFG (New York, NY)
- …the technical bridge between operations and the technology that powers our broker dealer settlement engine. This role requires deep expertise in trade flows, ... to translate complex technical concepts into actionable guidance for operations staff. This specialist will ensure settlement...financial operations roles. * Deep knowledge of broker dealer products (equities, fixed income, ABS,… more
- City National Bank (Jersey City, NJ)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk). Additionally, the position is responsible for...Or * CFIRS - Certified Fiduciary and Investment Risk Specialist Or * CFA - Charter Financial Analyst Or… more