- Dexian - DISYS (Charlotte, NC)
- Cash Management / Broker - Dealer / Treasury AnalystCharlotte, NC: Locals Only!5 Months$25 - $26/HRRelated job titles may be Treasury Analyst or Cash ... take on the speed required in production work.Top Skills:2+ years of experienceCash Management / Broker - Dealer experience (has dealt with trade proceeds or… more
- Fidelity TalentSource LLC (Chicago, IL)
- …complex planning and sophisticated product offeringsA sound understanding of the Broker / Dealer and RIA marketplaceBachelor s Degree required The Purpose\u00A0of ... Job Description:The Wealth Management Advisor focuses on driving deeper relationships with...wealth strategies intended to plan for future goals and cash flow needs through a sound and efficient savings,… more
- Randstad US (Charlotte, NC)
- …or Cash Management Analyst Qualifications: + 2+ years of experience + Cash Management / Broker - Dealer experience (has dealt with trade proceeds or ... Skills + Cash Management + Treasury Management + Institutional Investing + Broker - Dealer Operations Qualifications + Years of experience: 2 years… more
- Motion Recruitment Partners (Charlotte, NC)
- …experience, education. **Desired Skills & Experience** + 2+ years of experience. + Cash Management / Broker - Dealer experience (has dealt with trade ... Cash Management Analyst Charlotte, NC **Hybrid** Contract $26.25/hr - $29.58/hr Outstanding long-term contract opportunity! A well-known Financial Services… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager ... will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role...and state laws and regulations, within an enterprise-level risk management framework. The Compliance Advisor Senior Manager also assists… more
- Hold Brothers (New York, NY)
- …- dealer experience working in Operations and/or Finance as a FINOP or Finance management position at a self-clearing broker - dealer . + Expert knowledge of ... Hold Brothers Capital, LLC, a leading self-clearing proprietary broker - dealer , is seeking an EVP of...including but not limited to Operations, Finance, Compliance, Risk Management , Cash Management , and Treasury… more
- SMBC (New York, NY)
- …team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Robert Half Finance & Accounting (New York, NY)
- …to banks, as needed. + Monitor/track failed trades and coordinate with Portfolio Management and the Broker / Dealer community to resolve accordingly. Maintain ... a liaison between the firm, custodian banks, and the broker / dealer community to ensure timely trade settlement,...SCD and the custodian banks; all tasks related to Cash Management Support and Collateral Management… more
- SMBC (New York, NY)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... focus of this role will be on the US broker dealer and US swap dealer...dealer . The candidate should have a strong risk management / internal control mindset to apply and assess… more
- JPMorgan Chase (Chicago, IL)
- …solutions. Our wide array of financial strategies - equity, fixed income, cash management , currency, asset allocation, alternative asset classes - allow ... **Short business description** JPMorgan Asset Management (JPMAM) helps institutional and individual clients from...Summary** As a Sales Desk Manager for our Independent Broker Dealer (IBD) Channel, you will lead… more
- Principal Financial Group (Des Moines, IA)
- …Advisor within Principal Asset Management you'll focus on the broker dealer and investment advisers' compliance program for electronic communications, ... reviewers using the electronic communications review tool. + Provide guidance on broker dealer recordkeeping requirements, including retention and purging of… more
- Nuveen Investments (Charlotte, NC)
- …Nuveen Canada Company, Compliance Programs. Nuveen Securities, LLC, is a registered US broker - dealer , which serves as the underwriter and distributor for the ... not necessarily all inclusive. + Administer policy and procedures management activities including: tracking and updating policy action items...the securities industry, working for an investment adviser or broker - dealer . + Series 6 or 7; Series… more
- Atria Wealth Solutions (Austin, TX)
- …rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Represent the firm and assigned financial institution in relationships ... registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of… more
- Atria Wealth Solutions (Berkeley, CA)
- …rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Represents the firm and assigned financial institution in relationships ... registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis… more
- Bank of America (Charlotte, NC)
- … management . **Key Responsibilities:** + Participate in BANA / Parent Company / Broker - dealer cash and liquidity forecasting routines to identify risks ... Funding Team within Global Funding. The role has responsibility for Position Management including the daily cash position, short-term liquidity forecasts,… more
- Comerica (Frisco, TX)
- …FOCUS or OBS report submissions. * Maintain the general ledger for the broker dealer , including recording entries, performing a monthly close process and ... reporting and accounting for Comerica Securities, a FINRA regulated broker - dealer and a subsidiary of Comerica, Inc....Management * Monitor and manage the company's daily cash balances to ensure compliance with parent company Regulation… more
- SMBC (New York, NY)
- …of business processes in at least three of the following: commercial banking; broker - dealer sales and trading; financial and regulatory reporting; AML and BSA; ... for an annual discretionary incentive award. In addition to cash compensation, SMBC offers a competitive portfolio of benefits...in at least three of the following: commercial banking; broker - dealer sales and trading; financial and regulatory… more
- Capital One (New York, NY)
- … Dealers + Manage manual screening processes (Bridger Web) + Escalation point for Broker Dealer , Investment Bank, Sales, Research and Trading and Mergers & ... a key component of the role. **Responsibilities** **:** **Swap Dealer Regulatory Onboarding** **:** + Lead and manage the...and documentation + At least 3 years of People Management experience **Preferred Qualifications** **:** + 5+ years of… more
- JPMorgan Chase (Portland, OR)
- …limited to, financial planning, goals-based investing, financial advisory at a broker - dealer , RIA and/or a private bank, affluent/high-net-worth solutions, and ... The Private Client experience at JP Morgan offers a pathway to Wealth Management through comprehensive, expert planning. The Private Wealth Planner (PWP) role is… more
