• Global Broker - Dealer Legal Entity…

    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
    Citigroup (09/12/24)
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  • Senior Accountant - Banking/ Broker

    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
    Robert Half Finance & Accounting (08/09/24)
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  • Internal Wholesaler, Broker Dealer

    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
    Athene (09/05/24)
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  • Wealth Management Associate

    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
    Atria Wealth Solutions (07/09/24)
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  • Advisory FSI Insurance Senior Consultant

    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
    Deloitte (09/06/24)
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  • Global Wealth CAO - Business Risk Intermediate…

    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
    Citigroup (08/24/24)
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  • Operations Support Specialist / Financial Services

    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 (07/31/24)
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  • Platform Service Analyst

    Atria Wealth Solutions (San Diego, CA)
    …++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 Analyst to join our organization. In this role,… more
    Atria Wealth Solutions (09/15/24)
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  • Senior Analyst, US Finance & Regulatory Reporting,…

    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
    Scotiabank (08/21/24)
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  • Registered Financial Assistant

    Atria Wealth Solutions (Raleigh, NC)
    customer inquiries and working with the back-office support personnel at vendors and broker - dealer to ensure a high degree of quality service and customer ... registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of… more
    Atria Wealth Solutions (07/09/24)
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  • Principal Review Analyst II

    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
    TD Bank (08/28/24)
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  • Financial Services Processor / Cashier

    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
    Atria Wealth Solutions (08/28/24)
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  • Operations Specialist

    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
    TEKsystems (09/10/24)
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  • Vice President, Regulatory Analyst/Finance…

    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
    Citigroup (09/14/24)
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  • Sales Support Associate

    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
    Foresters Financial Services (07/17/24)
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  • FR2004 Regulatory Reporting, VP

    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
    MUFG (07/12/24)
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  • Advisor Service Representative

    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
    ADP (09/14/24)
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  • Regulatory Operations Sr Analyst, AVP (Hybrid)

    Citigroup (Getzville, NY)
    …**Key Responsibilities** - Assist in the preparation and submission of the US Broker Dealer (CGMI) Federal Reserve Bank Reporting that includes the following: ... routine monitoring of Operations related regulatory capital charges and customer reserve requirement pertains to net capital rule (15c3-1)...+ FR 2004A Weekly Report of Dealer Positions + FR 2004B Weekly Report… more
    Citigroup (08/31/24)
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  • Financial Advisor

    Atria Wealth Solutions (Plano, TX)
    …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... not limited to, the following: + Identifies and evaluates customer needs for financial services, assess the objectives and...(Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track… more
    Atria Wealth Solutions (07/09/24)
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  • Financial Advisor

    Atria Wealth Solutions (Fort Worth, TX)
    …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... not limited to, the following: + Identifies and evaluates customer needs for financial services, assess the objectives and...(Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track… more
    Atria Wealth Solutions (07/09/24)
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