- MUFG (New York, NY)
- …settlement system support specialist to serve as the technical bridge between operations and the technology that powers our broker - dealer settlement ... in broker - dealer back office, financial technology, or equivalent financial operations roles. * Deep knowledge of broker - dealer products (equities,… more
- TD Bank (Hartford, CT)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or escalating ... reports; and assisting advisors with all aspects of trading operations this rule supports complex transactions including blocked and...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- TD Bank (Vienna, VA)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and ... + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... for this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD Securities,… more
- Santander US (Boston, MA)
- …stay current with competitive trends. + Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... USA Sr. Specialist , Sales & Service Support Country: United States...investment/insurance service needs and maintaining consistent with compliance and operations standards + Proactive daily client management of operational… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or ... Position Objective, Typical Duties and Responsibilities We're currently seeking a Compliance Specialist to support the firm's Compliance Program. You will report to… more
- TD Bank (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... Maintain sub-ledger to general ledger mapping logic; liaise with Product Control and Operations for testing and application. + Manage chart of accounts and mapping.… more
- Wellington (Boston, MA)
- …including SEC, CFTC, FINRA, NFA requirements + Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, ... with legal support of Wealth initiatives preferred (eg, marketing, limited-scope broker / dealer support, US retail fund distribution, interval funds, tender… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... Road - Amherst, New York 14226 ABOUT THE JOB (JOB BRIEF): The Loan Delivery Specialist reports to the Post Closing Manager is responsible for the review, audit and… more
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