- Voya Financial, Inc. (Hartford, CT)
- …subject matter expert on a variety of topics including but not limited to Broker Dealer forms, account opening, account maintenance, and our processes to submit ... Opportunity: \*\*\*\*Currently have 3 openings on this team\*\*\*\ Our Submissions Team is the point of contact for Voya...with required reporting, and staying current on FINRA and broker dealer policies and procedures.* Other duties… more
- Vaco by Highspring (Fort Mill, SC)
- …or related field 8+ years of experience in finance, accounting, cash reconciliation, broker - dealer operations , or financial controls Series 99 (or ability ... technical expertise, regulatory knowledge, and people leadership in a fast-paced broker - dealer environment. KEY RESPONSIBILITIES: Cash & Asset Reconciliation… more
- ADP (Florham Park, NJ)
- …Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely ... Forward checks received by the firm to the designated broker - dealer lockbox. + Serve as the primary...26 exams. + Process invoices and coordinate compliance expense submissions with the Finance department. + Maintain and organize… more
