- Guardian Life (Holmdel, NJ)
- The Broker Dealer Operations Specialist will serve a subject matter expert on all aspects of our Client Onboarding, Account Maintenance, Third Party Data ... Reconciliation and Non-Purpose Lending Operations . The Broker Dealer Operations Specialist will intimately understand how our Books and Records… more
- Manulife (Boston, MA)
- …- dealer securities regulation (investment adviser/investment company a plus) and broker - dealer operations . + College/University degree or relevant work ... Reporting to the Compliance Director, the Compliance Specialist is a dynamic and multi-faceted role. This...**Position Responsibilities: ** + Provide regular oversight of the broker dealer 's electronic communications regulatory archive system,… more
- Guardian Life (Pittsfield, MA)
- As a Wealth Management Agency Operations Specialist , you will support Guardian Agencies with submitting new business and servicing wealth management accounts. ... detail oriented and possess excellent time management skills + Must understand broker dealer systems for account opening, asset movements, and order entry + Must… more
- MyFlorida (West Palm Beach, FL)
- FINANCIAL SPECIALIST - 43001941 Date: Jun 11, 2025 The...or the front office of an investment adviser or broker - dealer . + Individuals who hold or have ... No: 854797 Agency: Office of Financial Regulation Working Title: FINANCIAL SPECIALIST - 43001941 Pay Plan: Career Service Position Number: 43001941 Salary:… more
- Guardian Life (New York, NY)
- …on department projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong ... **Overview** Guardian life is seeking an Advisor Transitions Specialist who will be a critical part of...office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for &… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and clearing platform operations and practices. + Billing systems and financial operations in a broker - dealer environment. + Contract pricing structures ... **Job Description** **Job Summary** The Operations & Billing Support Specialist plays...implementing unique pricing schedules for all RIA's and introducing broker dealers on the RCS platform, supporting fee collection… more
- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... 74717 **The Role at a Glance** As the Treasury Specialist - Cash Mangement, you will work within a...monitoring LFG's daily cash management transactions and cash forecasting operations in a near real time environment. You will… more
- Lincoln Financial (Hartford, CT)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... to gain insights into our financials and make data-driven decisions. As a Specialist , Anaplan Model Builder, you will support the development and maintenance of our… more
- Robert Half Finance & Accounting (Fort Mill, SC)
- …and maintain commission payout structures, submitting accurate setups to the affiliated broker - dealer for processing. + Update internal tracking systems with ... and proactive professional to join our team as a Senior Commissions Specialist . This role supports a nationwide network of financial professionals, ensuring accurate… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …securities industry. + Financial markets and products. + Principles of finance and broker / dealer operations . **Skill in** + Oral and written communication. ... + Assessing, analyzing, and explaining market events on assigned investment products. + Identifying and responding to client needs. + Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner. + Operating… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Maintains product knowledge to assist with issues concerning various broker - dealer trades and investment products. + Collaborates with cross-functional ... teams, including portfolio managers, operations , and compliance, to execute fee-related tasks and projects. + Ensures adherence to both business continuity and… more
- Lincoln Financial (Omaha, NE)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... . Act as Business Resource for various teams within Fund Administration Operations (FAO). This includes assisting with issue resolution, special requests, process… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of the securities industry and asset management products. + Principles of finance and broker / dealer operations . + Financial markets and products. + Company's ... working structure, policies, mission, and strategies. **Skill in:** + Identifying the needs of customers through effective questioning and listening techniques. + Organize, manage, and track multiple detailed tasks and assignments with frequently changing… 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)Thrives in a dynamic team-based environment, effectively manages… more
- Lincoln Financial (Austin, TX)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... delivery, and operational tasks within a core infrastructure organization. This specialist position will perform and deliver on routine data protection… more
- Lincoln Financial (Omaha, NE)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... motivated hands-on technical individual to join our Network Delivery Operations Team. You will play an integral part in...and Switching or Data Center * Symantec (Bluecoat) Certified Specialist (SCS) * Palo Alto Certified Network Security Engineer… more
- Lincoln Financial (Charlotte, NC)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Vocational Rehabilitation Manager, you will be responsible for managing the daily operations of a team of Vocational Rehabilitation Consultants to ensure execution… more
- City National Bank (Charlotte, NC)
- … and Bank Secrecy Act/Office of Foreign Assets Control regulations * Prior broker / dealer experience preferred * Experience using Microsoft Word, Excel and Access ... at a financial institution * ACAMS Current Certified Anti-Money Laundering Specialist (CAMS) Certification *Skills and Knowledge* * Working knowledge of banking… more