- T. Rowe Price (Baltimore, MD)
- …firm's distribution initiatives related to the sale of Exchange Traded Funds (ETF) through broker dealer intermediaries. The role will report to the Head of ETF ... career with us. Role Summary: The B/D ETF Sales Specialist (BESS) will be focused on developing and executing...of date to target highest value ETF users within Broker Dealer segment. + Maintain in-depth knowledge… more
- Charles Schwab (Lone Tree, CO)
- …Schwab Corporation and related subsidiaries. Within the Corporate Controller's Department, Broker - Dealer Accounting is responsible for maintaining the income ... recognizing, analyzing, and explaining the various income streams of the broker - dealer . Since Schwab's revenue model is highly complex and dependent on… more
- Charles Schwab (Lone Tree, CO)
- …- Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist ). The Broker - Dealer /Asset Management team provides internal audit ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- Morgan Stanley (FL)
- …manner with sophisticated Advisors in implementing advanced strategies, increasing AUM of major Broker - Dealer clients. *What you'll do in the role* * Responsible ... the Exchange fund, derivatives, and charitable solutions. The Wealth Strategy Specialist is responsible for representation of product distribution within Broker… 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
- 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,...with them. We are looking for an Operations Support Specialist with superb customer service skills to join our… more
- Atria Wealth Solutions (San Diego, CA)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... practices. We are looking for an Equity Trader / Specialist to responsible for the placing of all stock...and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services ... of accounting and financial reporting process + Good knowledge of securities broker dealer business, financial products and regulatory reporting (SEA 15c3-1)… more
- SMBC (Jersey City, NJ)
- …to its employees. **Overview** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services to ... reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting (SEA… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services ... working in the financial service industry + 2+ years of financial reporting ( broker dealer experience is a strong plus) + BA/BS required + Working knowledge of… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …Performs brokerage and insurance regulatory sales supervision functions for the broker - dealer and insurance agency subsidiaries of the Bancorp. Mitigate ... processes including rollovers, securities and / or insurance transactions for the broker - dealer , investment advisor and insurance agency. + Determines whether… more
- Morgan Stanley (South Jordan, UT)
- …days of hire date if not already held * 2 years of industry experience ( broker / dealer risk experience is a plus) Knowledge / Skills * Excellent interpersonal and ... an important part of our culture. The Accounts Team Specialist will work closely with all levels of field...appropriately approved using various internal systems. An Accounts Team Specialist will report directly to the Accounts Team Manager.… more
- Citizens (NV)
- …understand risks associated with client product and transaction approvals/declines to limit broker dealer liability and financial loss. + Independently determine ... Description The Private Wealth Service and Support Specialist is responsible for providing white-glove, end-to-end processing and servicing to Private Wealth clients… more
- Wells Fargo (Denver, CO)
- …services industry experience + Experience in branch office supervision, compliance, broker - dealer governance, sales supervision **Job Expectations:** + US only: ... **About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management.… more
- Charles Schwab (Lone Tree, CO)
- …Financial Responsibility Rule requirements **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, ... with Schwab. The SCO is looking for a Senior Specialist to support the Information Technology (IT) portions of...portions of the ICFR and ICOC Assessments. This Senior Specialist will be accountable for the portions of the… more
- PNC (Pittsburgh, PA)
- …in identifying, assessing, and mitigating risks but also providing comprehensive support to the broker dealer . You will also work with other Lines of Defense ... contribute to the company's success. As a LOB Risk Specialist , you will be within PNC's Risk, Change, Experience,...performed remotely, at manager's discretion As the LOB Risk Specialist on the team, you have a key role… more
- Charles Schwab (Westlake, TX)
- …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …securities industry and asset management products. * Principles of finance and broker / dealer operations. * Financial markets and products. * Company's working ... implement territory/national sales and marketing strategies. * Creates proposals for prospective broker /dealers or clients. * Assists in the creation of reports and… more
- JPMorgan Chase (Columbus, OH)
- …+ Manage a territory of advisors across multiple channels, including Independent Broker Dealer , Wealth Management, and Registered Investment Advisor. + Develop ... a comprehensive range of investment strategies and services. As a Model Portfolio Specialist within the dynamic team at JPMorgan Asset Management in Columbus, Ohio,… more
- Wells Fargo (Bellevue, WA)
- …years of financial services industry experience + Experience in compliance or broker - dealer governance **Job Expectations:** + US only: Obtaining and/or ... **About this role:** Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth and Investment Management. Learn… more