- Citigroup (New York, NY)
- …years of experience in Treasury, Liquidity Risk Management, or other related experience , with strong understanding of Broker - Dealer business activity and ... **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is...Citi, the leading global bank, has approximately 200 million customer accounts and does business in more than 160… more
- Robert Half Management Resources (New York, NY)
- …functions. Prior FINOP or related experience very helpful. Must have knowledge of Broker Dealer domain. Responsibilities: * Oversee broker dealer ... industry. As our Audit Director, you will be tasked with conducting broker - dealer audits, developing and implementing audit programs, and managing accounting… more
- Robert Half Finance & Accounting (New York, NY)
- …Half Financial Services is recruiting for a Senior Accountant role for a Banking and Broker Dealer firm located in midtown Manhattan. Our client requires a CPA ... and 1+ years of Public/Private Accounting experience . The role reports directly into the Senior Accounting...the control and analytical review of holding company and broker dealer results, and inter-company confirmations +… more
- Athene (West Des Moines, IA)
- …to help you achieve more. Purpose: The Internal Wholesaler in the Independent Broker Dealer channel will educate Financial Advisors on Athene annuity products, ... opportunities and acquire industry licenses and certifications as needed. Qualifications and Experience : + Series 6 required. + College degree preferred, but not… more
- Atria Wealth Solutions (West Chester, PA)
- …account applications, financial and maintenance requests (copy, mail, scan, upload to broker dealer platform). Review for completeness and accuracy. + Connect ... execution (mutual funds, annuities, insurance) + Work directly with Broker / Dealer , Annuity and Fund Companies when appropriate....Diploma. + Bachelor's Degree (preferred) + 5 years of customer service and financial industry experience . +… more
- Deloitte (Cleveland, OH)
- …Insurance, Actuarial or a related field. + Minimum of 4 years of experience in insurance, broker - dealer , and/or investment advisor compliance. Compliance ... all aspects of our insurance program (Life/Annuity and/or P&C/Specialty) as well as broker - dealer functions, with a particular focus on compliance and regulatory… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... of intake/close out of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This position requires a working… more
- Atria Wealth Solutions (San Diego, CA)
- …computer system while on calls. + Preferred: 1+ years Independent Broker Dealer model and financial services industry experience Why work at Atria? In ... you ready to join one of the fastest growing broker - dealer networks in financial services? (Cerulli Associates,...are looking for an Operations Support Specialist with superb customer service skills to join our organization. In this… more
- Atria Wealth Solutions (Syracuse, NY)
- …++Like to Have + + Previous experience working in wealth management or broker dealer environment preferred. + Previous experience in call center ... you ready to join one of the fastest growing broker - dealer networks in financial services? (Cerulli Associates,...relationships with them. We are looking for a Platform Experience /Service Support to join our organization. In this role,… more
- Scotiabank (New York, NY)
- …and interpersonal skills + Certification: CPA, CIA, CFA plus + Big 4 experience plus + Banking/ broker - dealer regulatory reporting plus **Interested?** If ... tests to ensure adequate controls over finance functions (eg, banking & broker - dealer activities/reporting) and validate source documents. + Maintain a thorough… more
- TD Bank (Greenville, SC)
- …TD Private Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a focus ... and suitability for and trades executed in the TDPCW Broker Dealer and Registered Investment Advisor, as...TD is deeply committed to being a leader in customer experience , that is why we believe… more
- Wells Fargo (Charlotte, NC)
- …authorities + 7+ years of experience in a financial service firm with broker dealer regulatory reporting experience + Strong knowledge and understanding ... to FINRA and SEC that includes broker dealer 15C3-1 net capital calculation and 15C3-3 customer...customer reserve formula. + Series 27 licensed + Experience preparing and reviewing 15C3-3 Weekly and Monthly … more
- Citigroup (Tampa, FL)
- The Broker Dealer Risk Officer is responsible for the risk life-cycle of these third party relationships for the Market's business. This role requires in depth ... expertise in the day to day functions of a Broker Dealer . They will manage these third...gaps relative to regulations in addition to impacts on customer experience . + Conducts internal testing of… 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 ... institutions and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent financial… more
- TEKsystems (Green Bay, WI)
- …service to front-office colleagues specific to operational procedures and processes, general broker / dealer product offerings, broker / dealer systems, and ... Skills: brokerage operations, mutual fund, financial services, banking operations, Customer service, Technical support, banking, deposit verification, maintenance documentation… more
- Citigroup (New York, NY)
- The role is in the Broker Dealer Regulatory Reporting Department, which is responsible for ensuring the capital adequacy of all of Citi's US broker dealers ... FOCUS reports for each and ensuring that the primary broker dealer , Citigroup Global Markets Inc. is..., Citigroup Global Markets Inc. is compliant with the customer protection rule. The department is also responsible for… more
- Foresters Financial Services (Dublin, OH)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Scotiabank (New York, NY)
- …sales, investment banking, institutional broker dealer or FCM/swap dealer businesses. + Experience leading risk assessments processes. + Familiarity with ... limited to, the successful candidate's relevant knowledge, skills, and experience ._ Join a purpose driven winning team, committed to...US bank and broker dealer laws, rules, and regulations applicable… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, setup, ... a similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more
- ADP (El Paso, TX)
- …as advisors new to the 401k industry, spanning relationships with some of the top broker dealer firms in the industry to smaller boutique advisory firms. The ASR ... resolve issues and inquiries involving plan operation, advisor compensation, broker dealer or firm level changes, investment...have a professional presence. + Prior phone and email customer service experience required. + Being comfortable… more