- 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
- Hold Brothers (New York, NY)
- …position at a self-clearing broker - dealer + Expert knowledge of broker - dealer operations , and regulatory reporting needs including FINRA, SEC, and ... 27 is required + CPA preferred but not required + 10+ years relevant broker - dealer experience working in Operations and/or Finance as a FINOP or Finance… 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
- 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
- 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
- Siebert Williams Shank (New York, NY)
- …proper accounting and regulatory reporting. The ideal candidate will have knowledge of broker - dealer operations , financial rules and regulations, and the ... services firm + Knowledge and understanding of GAAP + Knowledge of broker - dealer operations , financial instruments, and regulatory requirements. + Excellent… 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. (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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …management of 1940 Act investment vehicles * Financial markets and products. * Broker / dealer operations . **Skill in** * Interpreting and applying policies ... direction and in coordination with broader team members, the Head of Operations utilizes extensive knowledge and skills acquired through education and experience to… more
- Robert Half Management Resources (New York, NY)
- …functions. Prior FINOP or related experience very helpful. Must have knowledge of Broker Dealer domain. Responsibilities: * Oversee broker dealer ... industry. As our Audit Director, you will be tasked with conducting broker - dealer audits, developing and implementing audit programs, and managing accounting… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or Power BI. + Principles of banking, finance, accounting, budgeting, cost control, and broker - dealer operations . Skill in - + Organization and time ... management to prioritize workload, handle multiple tasks, and meet deadlines in a fast-paced environment. + Critical thinking and problem solving with limited supervisory guidance, including independent creative thinking. + Operating standard office equipment… more
- Raymond James Financial, Inc. (Troy, MI)
- …strategies. * Advanced concepts, principles and practices of assigned functional area. * Broker / dealer operations . **Skill in:** * Preparing and delivering ... clear, convincing and professional presentations to small and large audiences. * Identifying the needs of customers through effective questioning and listening techniques. * Organize, manage and track multiple detailed tasks and assignments with frequently… more
- Kestra Financial (Kalamazoo, MI)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts Benefits: Competitive Pay, paid holidays, paid vacation, sick/personal days, 401(k), health insurance 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
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