- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II 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 . + Ability to communicate this knowledge and ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...applicability to SMBC Nikko Securities Inc. and affiliate operations . + Understanding of the products, services and business… more
- Siebert Williams Shank (New York, NY)
- …CCO or the number two compliance professional for a SEC registered and FINRA member broker - dealer * Have Operations experience including but not limited to ... Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a knowledgeable, driven, intellectually curious and… more
- SMBC (New York, NY)
- … dealer . + Strong knowledge in US securities laws, rules and regulations and broker dealer operations including Primary Dealer . + Ability to ... regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance… more
- Hold Brothers (New York, NY)
- …+ Work closely with senior accountants and financial analysts to understand the broker - dealer operations Requirements + Currently enrolled in a Bachelor's ... summary reporting and superior technology and service. Hold Brothers is a self-clearing broker - dealer is a member of FINRA and SIPC. Job Summary We are seeking… more
- NatWest Markets (Stamford, CT)
- …management, and funding. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations . + Individual must be self-motivated who ... US Operations Oversight & Advisory Stamford,United States Permanent Full Time \#R-00236551 Share: (https://jobs.natwestgroup.com/jobs/14598440-us- operations… more
- Tradeweb (Jersey City, NJ)
- …& Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations , securities regulations, and financial reporting ... team **Qualifications** + 5+ years of experience in securities accounting and/or broker dealer operations within the financial services industry + Strong… more
- SMBC (New York, NY)
- …activities. + Strong knowledge in US securities laws, rules and regulations and broker dealer fixed income operations including TRACE reporting, Primary ... advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance Officer as… more
- Kestra Financial (Columbus, OH)
- …of experience in the financial services industry allowing for a good understanding of broker / dealer operations and + Previous experience in the independent ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… 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
- Kestra Financial (Beaver, PA)
- …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
- Raymond James Financial, Inc. (Greenwich, CT)
- …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
- 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 ... implement territory/national sales and marketing strategies. * Creates proposals for prospective broker /dealers or clients. * Assists in the creation of reports and… more
- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team reports to the Global … more
- MUFG (New York, NY)
- …and maintenance of applications that support the back-office functions of the broker - dealer , including trading operations , risk management, and regulatory ... of experience in application management, with a focus on financial services or broker - dealer industry. + Strong technical background in .NET, Java, and… more
- NatWest Markets (Stamford, CT)
- Broker Dealer Testing, VP Stamford,United States... operations of the department and the business._ ** Broker Dealer Testing VP** This role will ... report to the Head of Broker Dealer Testing and will be part of the team responsible for assessing compliance risks and controls implemented by the first and… 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 (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 (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 (Wappingers Falls, NY)
- …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, and/or Registration + Series 7 and 65/66 license required +… more