- 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 ... programs + Our competitive payouts + Our operation and compliance infrastructure support * LPL Financial, member FINRA, SIPC,...* LPL Financial, member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they… more
- Vanguard (Malvern, PA)
- …leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness, risk management, ... and regulatory compliance of mission critical brokerage operations, while also supporting...segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA, OCC) and… more
- Vanguard (Malvern, PA)
- …The ideal candidate will have expertise and knowledge in financial markets and broker - dealer products and services, along with brokerage and banking regulations ... support regulatory exams, inquiries and actions. + Collaborate with Compliance , Risk, Audit and other shared service functions, to...4 years of related experience required + Knowledge of broker - dealer and banking regulations + Experience and… more
- Robert Half Legal (Philadelphia, PA)
- …and regulations, including those related to private placements, investment advisors, and broker - dealer activities. * Ability to thrive in a fast-paced, ... as well as laws and regulations governing investment funds, advisers, and broker -dealers. * General knowledge of legal structuring and tax issues associated with… more
- Wells Fargo (Royersford, PA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... will be accepted. This will be communicated at time of offer acceptance. Compliance with state law registration and licensing requirements is mandatory. In addition… more
- Santander US (Conshohocken, PA)
- …related sales and revenue goals as defined on a quarterly basis. * Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
- TD Bank (Exton, PA)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... and follows up on debt margin issues to ensure timely resolution and compliance with regulatory requirements. **Depth & Scope:** + Collaborates with the manager to… more
- TD Bank (Exton, PA)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more
- Vanguard (Malvern, PA)
- …4 years law firm experience or in-house corporate experience in a bank, broker / dealer or investment firm. + Knowledge and experience in derivatives, securities ... futures, and/or prime brokerage as well as educate and inform for better compliance with policies, regulations and laws. + Advise, counsel and educate internal… more
- The Hartford (Wayne, PA)
- …in the territory + A demonstrated track record of success in the assigned broker dealer firms + Additional industry designations (ie, CIMA, CFA) Compensation The ... and participate in various conferences and meetings + Adhere to all compliance regulations and guidelines including use of approved marketing materials, fund… more