- T. Rowe Price (Owings Mills, MD)
- …and delivering presentations + Experience with US investment distribution and working with Broker Dealer financial advisors + Strong understanding of the ... focused on delivering global investment management excellence and retirement services that investors can rely on today and in...to the sale of Exchange Traded Funds (ETF) through broker dealer intermediaries. The role will report… more
- Siebert Williams Shank (New York, NY)
- …and regulations through critical thinking and proper application. SWS is a full- service investment banking and financial services company dual-headquartered ... and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more
- SMBC (Jersey City, NJ)
- …5 years of specialized experience in Financial Services + 2 + years Financial Reporting ( broker dealer experience is a strong plus) + BA/BS required; ... Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial ... dealer , provides investment securities and other financial services to corporate and institutional clients,… more
- Kestra Financial (Beaver, PA)
- … services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Charles Schwab (Lone Tree, CO)
- … financial reporting principles and SEC regulatory requirements. Relevant bank, broker / dealer , or other financial services experience a plus. + ... financial statements for applicable subsidiary entities, including Schwab's broker - dealer , bank, and international subsidiaries. The SEC Reporting group… more
- Atria Wealth Solutions (San Diego, CA)
- …client relationships and maximize efficiencies in their practices. Atria's broker - dealer subsidiaries include CUSO Financial Services , LP, Sorrento ... and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and independent… more
- Citigroup (New York, NY)
- …mission is to serve as a trusted partner to our clients by responsibly providing financial services that enable growth and economic progress. We strive to earn ... **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is...corporations, governments and institutions with a broad range of financial products and services , including consumer banking… more
- Charles Schwab (Westlake, TX)
- …strategic initiatives. **What you have** + 3-5+ years of financial services -related audit experience with growing responsibility. Broker Dealer /Asset ... businesses. + CPA, CIA, CFE, or CISA strongly preferred. Other applicable financial services and/or risk management certifications considered. + Clear… more
- Charles Schwab (Westlake, TX)
- …needs. **What you have** + 3 - 5+ years of financial services -related audit experience with growing responsibility. Broker Dealer /Asset Management ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more
- Kestra Financial (Fort Worth, TX)
- … services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... servicing. This position requires a strong understanding of the financial services industry and products, and is...large book of business including managing client needs regarding service , asset allocation, case design and financial … more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit cards, and consumer finance. ... 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented… more
- Guardian Life (New York, NY)
- **Senior Software Engineer - Broker / Dealer ** **Overview** This position works closely with our senior technical leads to translate business requirements into ... **Domain Knowledge (Preferred, a big plus.)** + Familiar with broker / dealer and securities processing. + Familiar with...realize their dreams through a range of insurance and financial products and services . Our Purpose, to… more
- M&T Bank (Clanton, AL)
- …and peers at other institutions. Assist in oversight of Wealth, Institutional Client Services and Institutional Broker dealer testing for state, federal, ... Corporate Compliance Management guidance is needed. + Strong, comprehensive understanding of financial services functions. + Ability to thrive in a… more
- Kestra Financial (Raleigh, NC)
- … services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Kestra Financial (Columbus, OH)
- … services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited ... candidate will have 2+ years of experience in the financial services industry allowing for a good...services industry allowing for a good understanding of broker / dealer operations and + Previous experience in… more
- JPMorgan Chase (Columbus, OH)
- …invested, and investing with less emotion. Exciting opportunity to join the Independent Broker Dealer team as an Internal Client Advisor. **Job Summary:** As ... communication and presentation skills. **Preferred qualifications, capabilities and skills:** + Financial service and/or related sales leadership experience is… more
- Equitable (Charlotte, NC)
- Product Manager, Broker Dealer ( 240000LM ) **Primary Location** : UNITED STATES-NC-Charlotte **Other Locations** : UNITED STATES-Remote **Organization** : ... Manager responsibilities with knowledge of investment securities, alternative investments and/or other financial services products + Series 7, Series 66 or… more
- Kestra Financial (Cypress, TX)
- … services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... servicing. This position requires a strong understanding of the financial services industry and products and is...large book of business, including managing client needs regarding service , asset allocation, case design, and financial … more
- Tradeweb (Jersey City, NJ)
- …**Qualifications** + 5+ years of experience in securities accounting and/or broker dealer operations within the financial services industry + Strong ... The ideal candidate will have extensive knowledge of broker dealer operations, securities regulations, and financial reporting standards. You will… more
- Kestra Financial (Castle Rock, CO)
- … services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... Summary The Client Service Associate reports to all Advisors and the...servicing. This position requires a strong understanding of the financial services industry and products and is… more