- TIAA (Charlotte, NC)
- …Review organizations, supporting the growth of the business while protecting the broker - dealer and its associates by ensuring adherence to regulatory and ... and Principal Review teams provide critical first line support and oversight to broker - dealer associates in areas including suitability & best interest review,… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... Job Knowledge and Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US securities laws, rules and… more
- Charles Schwab (Westlake, TX)
- …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... interpersonal and management skills with the demonstrated ability to build cross -functional relationships and to interact effectively with senior management;… more
- Citigroup (New York, NY)
- …risk and governance programs that meet regulatory expectations, for example US Broker - Dealer Supervision Rules (FINRA 3110, 3120, etc,) and, or Prudential ... with Prudential Bank Regulations. The role will interact extensively with senior management across the Global Equities business, central Markets teams, Independent… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/ Broker - Dealer /Swap Dealer Reporting to the ... of business controls established to ensure adherence with US broker - dealer and US swap dealer ...completion and escalate past-due item + Develop relationships with senior management and other key internal contacts, including Management… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …edits, and negotiates third-party agreements including those critical to the operation of a broker - dealer and a bank holding company. * Advises on privacy and ... contracts with particular focus on contracts required for the operation of a broker - dealer and bank holding companyManaging a heavy volume of complex corporate… 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
- Atria Wealth Solutions (Fort Worth, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... in the country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the… more
- Atria Wealth Solutions (Marion, IN)
- …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 ... products and services offered through the credit union and cross -sell as the opportunity arises. + Records all sales,...CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker - dealer and Registered Investment Advisor with a… more
- Atria Wealth Solutions (Plano, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... in the country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the… more
- Atria Wealth Solutions (Cambridge, MA)
- …focused financial institution with an engaged member base complemented by large scale broker - dealer with nationwide scope. Y our in-depth knowledge of financial ... minimum supervision CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving… more
- Atria Wealth Solutions (San Rafael, CA)
- …and registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track record of serving the investment ... other credit union resources and departments as appropriate, including cross -selling RCU and RCUSG products and services. + Be...CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable track… more
- Citigroup (New York, NY)
- …their capital requirements and for the safeguarding of customer funds held by the broker - dealer . The primary entity that is subject to these rules is Citigroup ... Global Markets Inc "CGMI", plus other small broker -dealers. Regulatory works closely with Treasury, Accounting, Operations, Product...Rule 15c3-1 and 15c3-3; + Report financial results to senior management + Assist with the SEC & FINRA… more
- Broadridge Financial Solutions (New York, NY)
- …ways to improve their consultative sales skills within the operations groups of broker / dealer clients. + Collaborate with and advise Global Account and Strategic ... 100% of the client base and develop account plans based on a cross -Broadridge understanding of the client. The Account Manager employs strong negotiation and… more
- Atria Wealth Solutions (Dayton, TX)
- …www.cusonet.com . CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the ... initiatives. Work with Financial Center Managers to identify and leverage cross -sell opportunities. + Services and performs periodic reviews of existing client… more
- Atria Wealth Solutions (Battle Creek, MI)
- …visit www.cusonet.com . CFS (Member FINRA (http://www.finra.org/) /SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving ... initiatives. Work with Financial Center Managers to identify and leverage cross -sell opportunities. + Services and performs periodic reviews of existing client… more
- Atria Wealth Solutions (Shelton, WA)
- …www.cusonet.com . CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the ... initiatives. Work with Financial Center Managers to identify and leverage cross -sell opportunities. + Services and performs periodic reviews of existing client… more
- Atria Wealth Solutions (Pasadena, CA)
- …www.cusonet.com . CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the ... initiatives. Work with Financial Center Managers to identify and leverage cross -sell opportunities. + Services and performs periodic reviews of existing client… more
- Atria Wealth Solutions (Los Angeles, CA)
- …www.cusonet.com . CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the ... initiatives. Work with Financial Center Managers to identify and leverage cross -sell opportunities. + Services and performs periodic reviews of existing client… more