- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A ... well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... Compliance, IT Risk and Training committees. The Compliance Advisory Associate role assists in managing coverage areas or processes...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- PNC (Pittsburgh, PA)
- …and have an opportunity to contribute to the company's success. As an Accounting Associate Senior within PNC's Capital Markets Finance organization, you will be ... based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business for C&IB… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer...Associate will work closely with the team and senior stakeholders across Risk, Compliance, Legal, Operations, and Front… more
- Capital One (Plano, TX)
- Capital Markets Senior Associate Are you looking for a...or 99 license + 4+ years of experience in Broker Dealer + 4+ years of experience with ... causing trades not to settle + Work with clearing broker and client back offices to ensure accurate bookings...of internet provider, speed and service package from the associate . Requirements are subject to change, as new systems… more
- Kestra Financial (San Antonio, TX)
- Mission Financial Planners, LLC is seeking a Senior Client Service Associate who will play a pivotal role in driving the firm's growth and operational ... highly organized, detail-oriented, and committed to delivering exceptional client service. The Senior Client Service Associate reports directly to the Financial… more
- JPMorgan Chase (Jersey City, NJ)
- …role in enhancing our organization's governance and operational excellence! As a Senior Internal Audit Associate on the Commercial and Investment Banking ... in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes… more
- Ankura (Nashville, TN)
- …significant portion of all licensed US money transmitters. We are seeking a Senior Associate , Licensing Acquisition, to join the team. Ideally this role ... commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered… more
- Ankura (Dallas, TX)
- …requirements and will keep clients abreast of regulatory changes. We are seeking a Senior Associate , License Maintenance, to join the team. Ideally this role ... commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered… more
- Robert Half Accountemps (Columbus, OH)
- Description We are looking for a detail-oriented and experienced Operations Associate : III ( Senior ) to join our team on a contract basis in Columbus, Ohio. In ... this role, you will play a critical part in institutional broker - dealer operations, focusing on client onboarding, asset movement, and account maintenance. This… more
- Kestra Financial (Palo Alto, CA)
- …over the finish line and have a desire to learn, advance, and excel? The Senior Sales Associate reports to the Financial Advisor and is critical in meeting ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to:… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Supervisory + Responsibilities: None Knowledge,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the department for years to come. Understanding of the regulatory agencies that oversee Broker - Dealer and RIA firms will be essential in understanding how the ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Knowledge, Skills, and/or Abilities + Advanced… more
- T. Rowe Price (Owings Mills, MD)
- …+ Direct experience building digital investing or trading experiences at a broker / dealer or online brokerage + Strong understanding of self-directed investor ... to you . Role Summary We are seeking a Senior Product Owner to lead the strategy, vision, and...Conduct competitive and market research, benchmarking digital experiences from broker /dealers and fintechs + Translate investor needs and business… more
- Columbia Bank (Eugene, OR)
- …+ Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for assigned job function as applied to designated ... a turn-key approach to LTC and Insurance solutions. **About the Role:** A Senior Wealth Advisor is an experienced financial professional who can work within a… more
- Santander US (Boston, MA)
- …understanding of applicable Federal and State laws applicable to SEC registered broker - dealer . * Strong analytical and investigative skills and demonstrated ... Associate , Investment Supervision Country: United States of America...identifying risks in order to proactively escalate with relevant senior management. * Excellent written (drafting & editing) and… more
- Huntington National Bank (Boston, MA)
- …(Federal Bureau of Investigations) background check with fingerprinting to be associated with the broker dealer + If not held already, will be expected to pass ... Description Summary: Capstone Partners' Associates work closely with senior team members, while executing a variety of...initiatives. Capstone Partners' TMT team is looking for an Associate to help clients in a range of situations.… more
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