- Citigroup (New York, NY)
- …years of experience in Treasury, Liquidity Risk Management, or other related experience , with strong understanding of Broker - Dealer business activity and ... **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is...Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160… more
- Principal Financial Group (Des Moines, IA)
- …in a team-oriented atmosphere **Skills That Will Help You Stand Out** + 2+ years of prior Broker Dealer experience preferred + FINRA Series 53 & 4 + Prior ... **What You'll Do** We're looking for a Broker Dealer Trader II to join...questions and resolve problems relating to potential and existing customer accounts, trade approvals, compliance regulations, available products, and… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** Principal is seeking highly motivated individuals for a ** Broker Dealer Operations Associate I** position. You will provide service and ... and within SLA. Process other administrative tasks as they relate to the Broker Dealer Administrative team. + Partner with financial professionals to get… 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 ... serve. We are all united in delivering the best experience for our customers. We work together each day...of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and… 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 ... of intake/close out of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This position requires a working… more
- Wells Fargo (Charlotte, NC)
- …authorities + 7+ years of experience in a financial service firm with broker dealer regulatory reporting experience + Strong knowledge and understanding ... to FINRA and SEC that includes broker dealer 15C3-1 net capital calculation and 15C3-3 customer...customer reserve formula. + Series 27 licensed + Experience preparing and reviewing 15C3-3 Weekly and Monthly … more
- MUFG (New York, NY)
- …Experience with agile development methodologies. + Familiarity with financial services or broker - dealer industry. + Experience with ICR (Internal Credit ... maintenance of applications that support the back-office functions of the broker - dealer , including trading operations, risk management, and regulatory… more
- SMBC (Jersey City, NJ)
- …of specialized experience in Financial Services and 2 + years Financial Reporting ( broker dealer experience is a strong plus) + Education: Required: BA ... its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services… more
- Atria Wealth Solutions (Houston, TX)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... institutions and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent financial… more
- Truist (Atlanta, GA)
- …education and related training experience . 2. Two or more years of broker dealer regulatory reporting experience or related field/public accounting firm. ... change from time to time. 1. Prepare the weekly Customer Reserve calculation under SEC Rule 15c3-3 for the...Rule 15c3-3 for the securities trading business. 2. Calculate broker dealer regulatory capital under SEC Rule… more
- Citigroup (New York, NY)
- The role is in the Broker Dealer Regulatory Reporting Department, which is responsible for ensuring the capital adequacy of all of Citi's US broker dealers ... FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is..., Citigroup Global Markets Inc. is compliant with the customer protection rule. The department is also responsible for… more
- Foresters Financial Services (Dublin, OH)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Scotiabank (New York, NY)
- …sales, investment banking, institutional broker dealer or FCM/swap dealer businesses. + Experience leading risk assessments processes. + Familiarity with ... limited to, the successful candidate's relevant knowledge, skills, and experience ._ Join a purpose driven winning team, committed to...US bank and broker dealer laws, rules, and regulations applicable… 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: ... routine monitoring of Operations related regulatory capital charges and customer reserve requirement pertains to net capital rule (15c3-1)...+ FR 2004A Weekly Report of Dealer Positions + FR 2004B Weekly Report… more
- Atria Wealth Solutions (Fort Worth, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... not limited to, the following: + Identifies and evaluates customer needs for financial services, assess the objectives and...(Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track… more
- Atria Wealth Solutions (Plano, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... not limited to, the following: + Identifies and evaluates customer needs for financial services, assess the objectives and...(Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track… more
- Atria Wealth Solutions (Philadelphia, PA)
- …network you develop. + Experience and aptitude with working with a broker - dealer technology, ie, electronic order entry systems, DocuSign, etc. to process ... not limited to, the following: + Identifies and evaluates customer needs for financial services, assess the objectives and...LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year… more
- Citizens (Johnston, RI)
- …Management Risk Management, Audit, or Compliance + 6+ years' Risk and Compliance experience with advanced Broker - Dealer , Registered Investment Advisor, 12 ... in developing Private Wealth risk and compliance programs for dual-registered Broker - Dealer /Registered Investment Advisor, and RIA serving ultra-high net worth… more
- HUB International (Traverse City, MI)
- …achievements of divisions goals and objectives. + Effectively manage resolution of dealer and customer inquiries. + Proactively expand awareness of product ... (SPG) is the wholesale & MGA division of HUB International (5th Largest Global Broker ). SPG acts in a holding company capacity acquiring best in class underwriting… more
- US Bank (Minneapolis, MN)
- …and secondary market trading and acts through US Bancorp Investments, Inc., a registered broker - dealer . The candidate must ensure that the broker - dealer ... US Bank policies and procedures, ranging from anti-money laundering/ "know your customer " matters to onboarding foreign investors - Work closely with business lines… more