- PNC (Pittsburgh, PA)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... in a PNC location. Preferred locations are listed in this requisition. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely, at manager's discretion. Are you interested in an… more
- Guardian Life (Bethlehem, PA)
- …Managed account implementation strategies include Strategists, UMA, SMA, Rep as PM, Multiple Strategy Proposals, Multiple Account Proposals as well as our Digital ... strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet, Orion and our new digital partner, are used to facilitate a strategy, from proposal through to account investing. This individual will be… more
- Vanguard (Malvern, PA)
- …and dynamic team that performs Treasury Functions consisting of moving and reconciling broker dealer cash activity. The VMC Treasury Liaison will perform the ... and customer reserve computations. + Working knowledge of BetaNeXT and the broker dealer stock record/ + Working knowledge of financial and operational controls.… more
- PNC (Pittsburgh, PA)
- …sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad knowledge and… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related ... brokerage and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with investment adviser,… more
- Kestra Financial (Sewickley, PA)
- …services, products and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a ... tools of the industry - financial planning software, analytical tools and broker / dealer or custodian systems Education and/or Experience + Bachelor's degree… more
- SolomonEdwards (Harrisburg, PA)
- …Consultant to join a leading national financial services organization with significant broker / dealer operations. This hands-on role will lead the design and ... ensuring full alignment with OCC regulatory requirements. * Partner with the Broker / Dealer oversight function and internal teams to ensure the first line of… more
- Equitable (Philadelphia, PA)
- …achieve your goals through: + Our open-architecture platform for client solutions + Our broker / dealer powered by one of the world's largest broker /dealers ... support * LPL Financial, member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they are not affiliated. **Qualifications**… more
- Atria Wealth Solutions (Allentown, PA)
- …an external network you develop + Experience and aptitude with working with broker - dealer technology, ie, electronic order entry systems, DocuSign, etc. to ... CUSO Financial Services LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year track record of serving the… more
- Vanguard (Malvern, PA)
- …supervision and relevant supervisory control regulations. + Strong knowledge of Broker Dealer compliance, front-line supervisory practices, and incentive ... compensation governance. + Demonstrated ability to lead large scale supervision and surveillance modernization initiatives. + Executive presence and relationship building skills to influence across senior stakeholders and regulatory bodies. + Ability to… more