- HSBC (New York, NY)
- …in a finance or business related field + Experience in a bank or broker - dealer , covering fixed income and/or foreign exchange markets, or comparable experience. ... areas + Establish positive, working relationships with Non-Financial Risk (NFR), COO, Operations , Technology, other Risk partners and other functional areas, such as… more
- Guardian Life (New York, NY)
- The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment ... products. The role supports end‑to‑end operations from onboarding through transactions, reconciliation, and servicing requests. **You are** + A consummate… more
- 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
- 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
- Robert Half Management Resources (Dallas, TX)
- …and effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to ... Requirements * 10-15 years of experience in internal audit, compliance, or broker - dealer operations . * Extensive knowledge of FINRA and SEC regulations,… more
- M&T Bank (Boston, MA)
- …of 5 years of relevant work experience, such as in compliance, trading or broker - dealer operations + Strong analytical and problem-solving skills, as well ... **Overview:** M&T Securities, Inc. is the institutional broker - dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role… 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
- 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
- JPMorgan Chase (Jersey City, NJ)
- …all control and educational requirements. **Required qualifications, capabilities, and skills** + Broker Dealer Operations experience of or similar ... ensure project success. As a Prime Brokerage Margin-Client Service Operations Associate within JPMorgan Chase, you will play a...you will play a pivotal role in managing the operations of the pre- and post-trading life cycle across… more
- Vanguard (Charlotte, NC)
- …of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments ... of compliance experience in financial services, with at least 2 years in broker - dealer or banking-like operations . + Proven experience in Regulation E,… 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 (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
- 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
- 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
- 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
- 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)
- …and any other applicable fraud-related regulatory or industry rules and guidance + Broker - dealer operations , transaction methods & financial products, and ... industry practices + Principles of banking and finance and securities industry operations **Skill in** + Team leadership, coaching, and performance management +… 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
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