- Principal Financial Group (Des Moines, IA)
- **What You'll Do** Principal is seeking highly motivated individuals for a ** Broker Dealer Operations Associate I** position. You will provide service ... within SLA. Process other administrative tasks as they relate to the Broker Dealer Administrative team. + Partner with financial professionals to get items back… 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 ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- Randstad US (El Segundo, CA)
- operations support associate . + el segundo , california + posted 3 days ago **job details** summary + $20 - $24 per hour + contract + bachelor degree + category ... El Segundo Office Our Client is currently seeking an Operations Support Associate . This is a unique...navigation and use of various systems associated with the Broker / Dealer - Troubleshoot and resolve product or… more
- Morgan Stanley (New York, NY)
- …open trading floor environment * 1-2 years experience negotiating trading agreements at broker / dealer , buy-side firm and/or law firm * JD required *_Vice ... in open trading floor environment * 4 years experience negotiating trading agreements at broker / dealer , buy-side firm and/or law firm * JD required Expected base… more
- KPMG (San Francisco, CA)
- …conflicts of interest concepts + Exposure to Capital Markets/Investment Banking businesses, Broker Dealer and Bank regulatory reporting, capital planning (CCAR) ... **Business Title:** Senior Associate , Internal Audit **Requisition Number:** 119140 - 11...+ Minimum three years of experience in finance or operations , including performing internal or external audits from the… more
- DA Davidson Companies (Denver, CO)
- …markets, treasury operations , and/or cash management, preferably within a broker - dealer or other financial institution*Strong knowledge of capital markets, ... professional to join the Finance team as a Treasury Associate Vice President (AVP), focused on financial risk management...President (AVP), focused on financial risk management and treasury operations . Reporting to the Treasurer, in this key role,… more
- Broadridge Financial Solutions (Newark, NJ)
- …etc) + 10 years of experience in a risk mgmt. within a financial services or broker dealer environment + Experience with regulatory agencies such as FINRA, SEC + ... team. Broadridge is hiring! Were seeking a Vice President of Risk Management and Operations Controls. You will have the opportunity to work with a dynamic team and… more
- SMBC (Jersey City, NJ)
- …indicators) **Qualifications and Skills** + Knowledge of CUSO, BHC, Branch, & Broker Dealer regulatory reporting requirements and report preparation + Familiar ... to its employees. **Role Description** Responsible for effective financial regulatory reporting operations for the US Branch & BHC, including the production of high… more
- JPMorgan Chase (Columbus, OH)
- …+ Manage a territory of advisors across multiple channels, including Independent Broker Dealer , Wealth Management, and Registered Investment Advisor. + Develop ... policies. + Work closely with various teams, including marketing, sales, and operations , to support the promotion and distribution of model portfolios. **Required… more
- Raymond James Financial, Inc. (Bethesda, MD)
- …Concepts, practices and procedures of business development in a financial services/ broker - dealer environment. * Strong investment concepts, practices and ... industry. * Principles of banking and finance and securities industry operations . * Financial markets, products, financial advisory function and investment process.… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of the securities industry and asset management products. * Principles of finance and broker / dealer operations . * Financial markets and products. * Company's ... implement territory/national sales and marketing strategies. * Creates proposals for prospective broker /dealers or clients. * Assists in the creation of reports and… more
- City National Bank (Los Angeles, CA)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. + For Wealth Management ... RELATIONS ANALYST** **WHAT IS THE OPPORTUNITY?** Responsible for working with Associate Director ("AD") to coordinate end-to-end regulatory activity within CNB and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Maintains product knowledge to assist with issues concerning various broker - dealer trades and investment products. + Collaborates with cross-functional ... teams, including portfolio managers, operations , and compliance, to execute fee-related tasks and projects. + Ensures adherence to both business continuity and… more