- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker /dealer) is seeking to add a knowledgeable, driven, intellectually...changes to the taxable fixed income, municipal & equity securities sales & trading, public & corporate finance groups,… more
- Huntington National Bank (Cincinnati, OH)
- Description Summary: The Huntington Securities , Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you may… more
- Tradeweb (Jersey City, NJ)
- …Accounting department. The ideal candidate will have extensive knowledge of broker dealer operations, securities regulations, and financial reporting standards. ... from Dealerweb management team **Qualifications** + 5+ years of experience in securities accounting and/or broker dealer operations within the financial services… more
- PNC (Pittsburgh, PA)
- …other key stakeholders to drive PNC Capital Markets forward. PNCCM is registered as a securities broker and dealer, and we provide support to the business that ... remotely, at manager's discretion. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business for… more
- Securities and Exchange Commission (New York, NY)
- …Provide expert analysis and review of activities related to the federal securities law requirements applicable to broker -dealers, exchanges, municipal advisors, ... Summary The Broker -Dealer and Exchange Examination Program (BDX) within the...within the Division of Examinations is hiring a Supervisory Securities Compliance Examiner in New York, NY. This position… more
- SMBC (New York, NY)
- …compliance experience at a broker dealer. + A solid foundation in US securities laws and regulations and broker dealer operations. + Ability to communicate ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the… more
- NatWest Markets (Stamford, CT)
- …Bond, Repo, Treasuries and Capital Markets business + Sound knowledge of broker dealer regulations, and securities products and compliance including knowledge ... Rules 3110, 2210, and SEC 15C3-5 + Good knowledge of broker -dealer and securities processes and business. + Excellent communication skills in interacting with… more
- TD Bank (New York, NY)
- … securities regulation. The optimal candidate will be a subject matter expert on broker -dealer and securities laws ( Securities Act of 1933, Securities ... for this role. **Job Description:** Legal counsel providing advice related to broker -dealer activities with a focus on fixed income institutional sales and trading… more
- SMBC (New York, NY)
- …SMBC Nikko Securities America, Inc. (Nikko US) is an SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Guardian Life (Columbus, OH)
- …portfolio of individual life and annuity insurance products. Park Avenue Securities is Guardian's broker -dealer and corporate Registered Investment Advisor ... Park Avenue Securities was founded in 1999 as a complement...Worth Specialist is an integral part of Park Avenue Securities (PAS). Reporting to the Head of HNW Sales,… more
- PNC (Raleigh, NC)
- …broker -dealer related operations, or operations risk management experience supporting the broker -dealer industry is required; Securities licensing is a plus. ... Enterprise BSA/AML & Sanctions organization in Independent Risk Management to support Broker Dealer. The incumbent will lead a team providing Independent BSA/AML… more
- SMBC (Jersey City, NJ)
- …of the Compliance Monitoring and Testing team to perform testing of its broker /dealer (SMBC Nikko Securities America, INC). The Vice President is responsible ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- Siebert Williams Shank (Chicago, IL)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed to providing the highest level of value-added services… more
- Athene (West Des Moines, IA)
- …with both Athene, a leading retirement services company, and its subsidiary, Athene Securities , a limited purpose broker -dealer. *Focus of position is Financial ... Institution/ Broker -Dealer Suitability Delegation support and Athene Securities administration. Serves as a knowledgeable business resource for compliance… more
- Motion Recruitment Partners (Charlotte, NC)
- …Duration: 4 Months **Required Skills & Experience** + 2+ years of securities / Broker dealer/ back-office operations experience (Asset services experience is ... ideal) + Intermediate skills in MS Excel (pivot tables/ vlookups) + Intermediate skills in MS Outlook (ability to manage shared mailbox) **Desired Skills & Experience** + Critical thinking, analytics. + Good communications skills, written, oral for interaction… more
- Ankura (FL)
- …lending companies, third-party payment processers, consumer collections agencies and securities /brokerage [ broker dealer] + Working knowledge/experience with ... BSA/AML compliance programs and developing training for FinTech's and broker -dealers. + Provide advice on technology implementation and enhancement including… more
- Securities and Exchange Commission (New York, NY)
- …expert legal analysis and review of activities related to the federal securities law requirements applicable to broker -dealers, exchanges, municipal advisors, ... securities -related financial institutions, such as self-regulatory organizations (SROs), broker -dealers, investment advisers, investment companies, clearing agencies, or transfer… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …administrator NAV packages. + Perform daily reconciliations of cash, trades, and securities against bank/ broker statements. + Identify and resolve discrepancies ... with counterparts. + Support private investment valuation processes and maintain documentation. + Manage fund audits and assist with tax return processes. + Handle treasury functions, including cash management and wire setups. + Provide backup support for… more
- CNO Financial Group (Chicago, IL)
- …Suitability Analyst to provide centralized supervision of registered representatives' securities transactions. This role involves close collaboration with all ... while delivering high-quality customer service. **As a** **Suitability Analyst, Broker -Dealer** **, your responsibilities will include:** + Examine and approve… more
- Citizens (Boston, MA)
- Description This FINRA/ Securities Specialist Investigator III will be tasked with investigating potential federal FINRA Rules and Securities Law violations and, ... associated persons. In this role, you will perform investigative functions for securities cases to develop complete and factual investigative records and make… more