- T. Rowe Price (Baltimore, 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
- Atria Wealth Solutions (Houston, TX)
- …and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and independent ... institutions and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent … more
- Siebert Williams Shank (New York, NY)
- …(SWS) is the nation's largest minority-owned and women-owned broker - dealer , full- service investment banking and financial services firm that offers ... business administration, or a related field + 2+ years of experience within a broker - dealer or financial services firm + Knowledge and understanding of… 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
- Wells Fargo (Minneapolis, MN)
- …training, military experience, education **Desired Qualifications:** + Experience testing broker - dealer financial regulatory reporting requirements + ... Finance & Accounting activities including but not limited to COSO/SOX/FDICIA/ Broker - dealer reporting requirements, legal entity accounting, recovery/resolution… more
- Atria Wealth Solutions (San Diego, CA)
- Are you ready to join one of the fastest growing broker - dealer networks in financial services ? (Cerulli Associates, 2020) At Atria, we support ... financial questions. + Initiate outreach campaigns to financial professionals and gather feedback to improve service...calls. + Preferred: 1+ years Independent Broker Dealer model and financial services … more
- Atria Wealth Solutions (Houston, TX)
- …and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and independent ... efficiencies in their practices. We are looking for a Financial Services Processor / Cashiering Specialist to...and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions… more
- SMBC (Jersey City, NJ)
- …experience working in the financial service industry + 2+ years of 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
- Atria Wealth Solutions (Syracuse, NY)
- Are you ready to join one of the fastest growing broker - dealer networks in financial services ? (Cerulli Associates, 2020) At Atria, we support ... client relationships and maximize efficiencies in their practices. Atria's broker - dealer subsidiaries include CUSO Financial Services , LP, Sorrento… 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
- Scotiabank (New York, NY)
- …development of appropriate audit plans/activities for assigned areas (eg, banking & broker - dealer regulatory reporting, financial reporting, product control, ... Contribute to an inclusive work environment. **What You'll Bring** + 2+ years of banking/ broker - dealer activities in audit and/or financial reporting + 4+… 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
- M&T Bank (Boston, MA)
- …Inc. (MTS), a wholly owned subsidiary of M&T Bank Corporation provides institutional broker dealer services focused on supporting corporate clients through ... - dealer compliance team. Responsible for ensuring the broker dealer operates in compliance with all...Experience Required:** + Bachelor's degree and ten (10) years' financial services industry experience with significant experience… more
- Tradeweb (New York, NY)
- …A minimum of ten years of experience working in a compliance related role within a financial services firm in the role of a CCO or similar senior role supporting ... a broker dealer . + Strong understanding of regulatory...Programs** + Pre-Tax Commuter Benefits Program + ARAG Legal Services + Employee Assistance Program + Tuition Reimbursement +… 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
- 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 ... to maximize sales by creating new and managing existing relationships with financial advisors/brokers and agents to generate departmental asset growth. Ensures that… more
- Kestra Financial (Kalamazoo, MI)
- … services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited ... Summary: Financial Plan ning firm located in Kalamazoo Michigan...Kalamazoo Michigan seeks a highly energized and confident client service associate who will thrive in a busy environment.… 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
- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. ... Manager for the US, and will cover US GAAP/IFRS financial reporting, FINRA/FOCUS/NFA reporting, financial governance and...the control and analytical review of holding company and broker dealer results, and inter-company confirmations +… more