- Capital One (New York, NY)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk ... experience** **Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance… more
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior ... IT Auditor (Senior Specialist , Internal Audit - Technology is our internal title) primarily responsible for audit activities covering BDAM focused on key application… more
- MUFG (New York, NY)
- …as the technical bridge between operations and the technology that powers our broker - dealer settlement engine. This role requires deep expertise in trade flows, ... or a related field. * 8+ years of progressive experience in broker - dealer back office, financial technology, or equivalent financial operations roles.… 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
- Aegon Asset Management (Denver, CO)
- …to support the sale of Transamerica products. Manages relationships with broker - dealer through proactive and thoughtful sales planning. Job Description ... the products, services and positioning messages of Transamerica and convey to broker - dealer firms. + Foster relationships with key account relationship managers… more
- Wells Fargo (Newport Beach, CA)
- …and competing priorities + Experience in branch office supervision, compliance, broker - dealer governance, sales supervision **Job Expectations:** + May be ... role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our Client Relationship Group within Wealth...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- Wells Fargo (Newport Beach, CA)
- …years of financial services industry experience + Experience in compliance or broker - dealer governance + Experience partnering with business, compliance and ... this role:** Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... for this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD Securities,… more
- New York State Civil Service (Albany, NY)
- …reports for review by the unit Manager.Assist in the evaluation of broker - dealer and other service provider performance.Assist with the development and ... Authority of the State of New York Title Treasury & Investment Specialist II Occupational Category Financial, Accounting, Auditing Salary Grade NS Bargaining Unit… more
- Santander US (Boston, MA)
- …stay current with competitive trends. + Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... USA Sr. Specialist , Sales & Service Support Country: United States...Talk to You!** **The Difference You Make:** The Sr. Specialist , Sales & Service Support will be the primary… more
- Wells Fargo (Minneapolis, MN)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking a Senior Supervisory Control Specialist to join our team within Branch Infrastructure and Operations group as part of… more
- JPMorgan Chase (New York, NY)
- …channels to proactively position our real estate solutions through RIA's and our broker - dealer partners. + Develop and implement a comprehensive sales strategy ... spanning the risk spectrum and capital stack. **Job Summary** As an Investment Specialist on the Real Estate Americas client strategy team you will be focused… more
- JPMorgan Chase (New York, NY)
- …channels to proactively position our real estate solutions through RIA's and our broker - dealer partners. + Develop and implement a comprehensive sales strategy ... risk spectrum and capital stack. **Job Summary** As the Executive Director, Investment Specialist on the Real Estate Americas client strategy team, you will focus on… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or ... Position Objective, Typical Duties and Responsibilities We're currently seeking a Compliance Specialist to support the firm's Compliance Program. You will report to… more
- JPMorgan Chase (Fort Worth, TX)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased...+ 5+ years' experience with financial services company in sales/ specialist role. + Extensive experience in the private alternative… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …This role offers a comprehensive view of annuity distribution across industry, broker / dealer , and independent channels. You will gain insight into Raymond ... James' values, purpose, and culture while deepening your knowledge of annuity products and positioning. Through hands-on experience, you will explore case planning strategies designed to meet individual client goals-building skills that will serve you… more
- JPMorgan Chase (Los Angeles, CA)
- …limited to, financial planning, goals-based investing, financial advisory at a broker - dealer , RIA and/or a private bank, affluent/high-net-worth solutions, and ... retirement strategies + Bachelor's degree and Certified Financial Planner (CFP) or Wealth Management Certified Professional (WMCP) designation (or equivalent) required + Ability & experience in understanding clients' financial situations and personal… more
- Wellington (Boston, MA)
- …including SEC, CFTC, FINRA, NFA requirements + Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, ... with legal support of Wealth initiatives preferred (eg, marketing, limited-scope broker / dealer support, US retail fund distribution, interval funds, tender… more
- TD Bank (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... initiatives and a variety of complex projects and initiatives requiring seasoned specialist knowledge and/or the integration of cross functional processes within own… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... Road - Amherst, New York 14226 ABOUT THE JOB (JOB BRIEF): The Loan Delivery Specialist reports to the Post Closing Manager is responsible for the review, audit and… more