- 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
- 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)
- …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
- Wells Fargo (New York, NY)
- …approval of processes completed by other team members + Partner with vendors, Broker Dealer Operations, Middle Offices, and other stakeholders to ensure accurate ... Fargo is seeking a Senior Lead Institutional Investment Operations Specialist within our Tax Operations team as a part...of Markets business (including Prime Brokerage, FCM, FX, Swap Dealer , and Broker Dealers in US and… 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
- MyFlorida (Tampa, FL)
- FINANCIAL SPECIALIST - 43004529 Date: Sep 20, 2024 The...or the front office of an investment adviser or broker - dealer . + Individuals who hold or have ... No: 838061 Agency: Office of Financial Regulation Working Title: FINANCIAL SPECIALIST - 43004529 Pay Plan: Career Service Position Number: 43004529 Salary:… more
- SMBC (Jersey City, NJ)
- …SMBC NY Branch, SMBC Americas Holdings, Inc. and its US subsidiaries (including a broker dealer , lessor entities, swap dealer , commercial bank, etc.). ... employees. **Role Description** SMBC is seeking a Vice President, Accounting Policy Specialist . The Vice President will be one of the technical accounting resources… more
- Morgan Stanley (Columbus, OH)
- …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
- Equitable (Charlotte, NC)
- …The Investment Product Sales Specialist is an influential part of the Broker Dealer and RIA sales, responsible for enabling sales growth throughout ... Investment Product Sales Specialist ( 240000AQ ) **Primary Location** : UNITED...potential? The key objectives of the Investment Product Sales Specialist are to build relationships with the Equitable Advisors… 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 (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
- 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
- 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
- Citizens (Boston, MA)
- …experience in similar investigations capacity. + Five (5) years of broker - dealer , compliance, financial or operational audits/investigations or related ... Description This FINRA/Securities Specialist Investigator III will be tasked with investigating potential federal FINRA Rules and Securities Law violations and, when… more
- US Bank (Minneapolis, MN)
- …laws and regulations governing activities such as best execution, soft dollars, and broker - dealer reviews. + Support and provide oversight of personal security ... you excel at-all from Day One. **Job Description** The Investment Compliance Specialist will provide investment compliance risk oversight and credible challenge from… more