- MUFG (New York, NY)
- …our recruitment team will provide more details. **Job Summary:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... the Treasurer, the AVP will have involvement in all broker dealer treasury functions including: funding and.... The AVP will partner extensively with Treasury, Finance, Operations , Legal and Business colleagues, in close collaboration with… more
- Hold Brothers (New York, NY)
- … broker - dealer + Expert knowledge of broker - dealer operations , and regulatory reporting needs including FINRA , SEC, and other agencies as required ... + Series 27 is required + CPA preferred but not required + 10+ years relevant broker - dealer experience working in Operations and/or Finance as a FINOP or… more
- Citizens (Johnston, RI)
- …proposed regulations (SEC, FINRA , OCC, State) to determine applicability to the broker dealer based on a thorough understanding of the Firm's current ... applicable to any and all marketing/advertising materials which involve any affiliated broker dealer /RIA. The individual must possess an expert level knowledge… more
- Citizens (Tarrytown, NY)
- …regulations applicable to any and all business activities which involve any affiliated broker dealer /RIA or trust business. The individual must possess an expert ... level knowledge of all applicable rules/regulations related to broker dealer /RIA and trust activities. . Primary responsibilities include. + Compliance Program… more
- Atria Wealth Solutions (San Diego, CA)
- …data in company computer system while on calls. + Preferred: 1+ years Independent Broker Dealer model and financial services industry experience Why work at ... you ready to join one of the fastest growing broker - dealer networks in financial services? (Cerulli Associates,...meaningful relationships with them. We are looking for an Operations Support Specialist with superb customer service skills to… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- Capital One (New York, NY)
- …Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three ... institutional FINRA registered broker dealers and provide compliance...framework. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of… more
- PNC (Pittsburgh, PA)
- …performed remotely, at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- TD Bank (Mount Laurel, NJ)
- …both verbal and written + PC skills **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of ... of Business:** TD Wealth **Job Description:** The US Wealth Operations Specialist I is an introductory role to Wealth...May (or may not) be a registered position under FINRA + Must be eligible for employment under standards… 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 ... 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
- Wells Fargo (Charlotte, NC)
- …including approval of processes completed by other team members + Partner with vendors, Broker Dealer Operations , Middle Offices, and other stakeholders to ... Wells Fargo is seeking a Senior Lead Institutional Investment Operations Specialist within our Tax Operations team...of Markets business (including Prime Brokerage, FCM, FX, Swap Dealer , and Broker Dealers in US and… more
- SMBC (New York, NY)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... aggressive growth strategy inclusive of striving to attain primary dealer status. Securities Operations within Nikko America...15+ years of experience managing within the Fixed Income/Treasury Operations space + FINRA Series 99 (or… more
- Deloitte (Cleveland, OH)
- …all aspects of our insurance program (Life/Annuity and/or P&C/Specialty) as well as broker - dealer functions, with a particular focus on compliance and regulatory ... related field. + Minimum of 4 years of experience in insurance, broker - dealer , and/or investment advisor compliance. Compliance inspection or supervisory… more
- Tradeweb (Jersey City, NJ)
- …& Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations , securities regulations, and financial reporting ... + 5+ years of experience in securities accounting and/or broker dealer operations within the...non-finance personnel and management + Knowledge of SEC and FINRA regulations + Brokerage experience, trading environment experience preferred… more
- Citigroup (Getzville, NY)
- …**Key Responsibilities** - Assist in the preparation and submission of the US Broker Dealer (CGMI) Federal Reserve Bank Reporting that includes the following: ... **Objective** The Operations Regulatory Reporting group validates, monitors, & performs...+ FR 2004A Weekly Report of Dealer Positions + FR 2004B Weekly Report… more
- Atria Wealth Solutions (Chambersburg, PA)
- …). To learn more about CUSO Financial Services, LP. visit www.cusonet.com . CFS (Member FINRA /SIPC) is a broker - dealer and RIA with a stable, 25-year track ... work with the back-office support personnel at vendors and broker - dealer to ensure a high degree of...client files with appropriate information and in accordance with FINRA compliance standards. + Keep all securities and insurance… more
- Atria Wealth Solutions (Corning, NY)
- …). To learn more about CUSO Financial Services, LP. visit www.cusonet.com . CFS (Member FINRA /SIPC) is a broker - dealer and RIA with a stable, 25-year track ... work with the back-office support personnel at vendors and broker - dealer to ensure a high degree of...client files with appropriate information and in accordance with FINRA compliance standards. + Keep all securities and insurance… more
- Truist (Winston Salem, NC)
- …the day-to-day supervisory reviews that are performed. + Supervisory responsibility for Broker Dealer trading activity. + Utilize multiple systems to ensure ... that are routinely associated with those of a retail broker / dealer to engage with advisors in the...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
- SMBC (Jersey City, NJ)
- …Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail banking operations ; US and LATAM representative ... focus of this role will be on the US broker dealer and US swap dealer...be permitted for certain roles, including, for example, certain FINRA -registered roles for which in-office attendance for the entire… more
- Scotiabank (New York, NY)
- …Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, investment management activities, ... compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment… more