- Equitable (Charlotte, NC)
- …team. This role is critical in ensuring the effective oversight of outsourced broker - dealer operations , maintaining compliance with regulatory standards, and ... candidate will have a strong background in financial services, particularly within broker - dealer operations , and possess advanced analytical capabilities.… more
- Huntington National Bank (Chicago, IL)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker ... this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- Capital One (New York, NY)
- …trading environment. **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and Swap Dealer ... Trade Surveillance Manager ( Broker - Dealer & Swap Dealer )... (SD) businesses. This individual will oversee day-to-day surveillance operations , maintain robust controls around the monitoring of trading… more
- Kestra Financial (Sewickley, PA)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a demonstration… more
- US Bank (St. Paul, MN)
- …experience or direct loan servicing experience **_Preferred Skills/Experience_** + 5+ years of broker dealer securities operations experience ideally in a ... us** USBI is a major underwriter and secondary market dealer and market maker of high grade and high...yield corporate debt. The firm is also a prominent dealer and remarketing agent of municipal securities as well… more
- Kestra Financial (Raleigh, NC)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Bank of America (Dallas, TX)
- …on volumes. **Required Skills:** + Minimum two years of experience working in broker dealer operations with knowledge of common operational issues, ... Managed Account Trading Operations Analyst Dallas, Texas;Addison, Texas **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer… more
- Kestra Financial (Hamilton, NJ)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... products, and pricing * Understand and leverage the resources available at the Broker Dealer to the fullest extent * Develop Centers of Influences such as… more
- Kestra Financial (Kings Park, NY)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- US Bank (Milwaukee, WI)
- …Management & Investment Services business lines and clients + Proven experience in Broker - dealer operations + Ability to multitask and meet established ... Description** We are currently seeking a highly skilled Custody Operations Analyst to join our Manual Transfers team. This...Analyst to join our Manual Transfers team. This Custody Operations Analyst will be responsible for the management and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations . **Skill in:** * Identifying the needs of ... * Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. * Works… more
- SMBC (New York, NY)
- …time as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory ... of the CEO (CEOAD), Tokyo Home Office, Finance & Operations , Risk, HR, Internal Audit, and Technology. The Regulatory...project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer… more
- Kestra Financial (San Antonio, TX)
- …5+ years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, ... directly to the Financial Planner and manages the firm's client service operations , overseeing support staff and enhancing the client experience through proactive… more
- Coinbase (Madison, WI)
- …will provide critical support to Coinbase Capital Markets ("CCM" a FINRA member broker - dealer ) in meeting its regulatory obligations to assist the Product team ... * Coordinate closely with cross functional partners in Legal, Operations , Risk, Tax, Finance and Audit to ensure a...requirements):* * 7+ years experience working in a retail broker - dealer compliance team. * Comfortable working in… 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. + Portfolio ... construction, portfolio management and practice management related topics. **Skill in** + Identifying customers' needs through effective questioning and listening techniques. + Organizing, managing and tracking multiple detailed tasks and assignments with… more
- Kestra Financial (Fort Worth, TX)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts * Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration * Series 7 and 63 required * Series 65/66… more
- Kestra Financial (Palo Alto, CA)
- …of experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including ... but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts. Location Palo Alto, California Job Type: Full-time Salaried Pay: $50,000.00 - $60,000.00 per year Base plus Bonus (Uncapped) We Offer: Base Salary, and… more
- Kestra Financial (Cypress, TX)
- …experience in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but ... not limited to equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 preferred + Series… more
- Kestra Financial (West Hartford, CT)
- …of experience in the financial services industry with a strong understanding of broker / dealer operations and financial services products, including but not ... limited to: equities, bonds, ETFs, mutual funds, annuities, insurance, and managed accounts. + The ideal candidate must have a minimum of $10mm in assets under management Certificates, Licenses, Registration + Must be fully licensed with a Series 7 & 66 or 7,… more