- Charles Schwab (Westlake, TX)
- …- 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
- T. Rowe Price (Owings Mills, 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
- 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)
- …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
- PNC (Pittsburgh, PA)
- …swaps products (eg, interest rate derivatives, commodity derivatives, foreign exchange) and/or broker dealer products (eg, fixed income securities). * Has ... contribute to the company's success. As a Compliance Program Specialist Senior, you will be within PNC's Risk, Change,...knowledge of NFA/CFTC swap dealer requirements and/or FINRA/SEC broker … 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
- 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 ... + Approves or rejects securities and 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 (Springfield, IL)
- …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
- Charles Schwab (Lone Tree, CO)
- …the Financial Responsibility Rule requirements **What you'll:** + 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
- Wells Fargo (Atlanta, GA)
- …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 (Phoenix, AZ)
- …and written communication skills. + Detailed knowledge of Schwab systems related to both the Broker Dealer and the Schwab Bank sides of the business with respect ... industry together. The Banking Operations Visa Risk Monitoring (VRM) Specialist is responsible for handling inbound VRM hotline questions...lines of defense model of risk governance. The VRM Specialist is a first line of defense position for… 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
- 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 (Naples, FL)
- …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
- Wells Fargo (Corte Madera, CA)
- …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
- 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 ... and maximize efficiencies in their practices. We are looking for an Account Specialist to join our amazing tech team. To achieve success this position will… more
- Guardian Life (Bethlehem, PA)
- …industry in a service, operational, or sales support role + An understanding of broker dealer systems for account opening, asset movements, and order entry + ... The Wealth Management New Account and Operation Specialist will partner with Guardian General Agencies to process and service wealth management accounts. **You are**… more
- Atria Wealth Solutions (Rockville, MD)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... maximize efficiencies in their practices. We are looking for an Advisory Support Specialist that is responsible for the processing of all business including but not… more
- JPMorgan Chase (Apple Valley, CA)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased...+ 5+ years' experience with financial services company in sales/ specialist role. + Extensive experience in the private alternative… more