- PNC (Pittsburgh, PA)
- …Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management , Swap Dealer & Broker Dealer . This position is primarily based in ... ensure they adhere to and support PNC's Enterprise Risk Management Framework. **Qualifications** Successful candidates must demonstrate appropriate knowledge,… more
- Guardian Life (Bethlehem, PA)
- …serve as the expert on all aspects of our managed account model management , trading platform, annuity operations as well as all associated custody, clearance, and ... on the following functions + Advisor as PM: model creation, management , trading + Multi-Account/Strategy proposals and implementation + Envestnet Trading methodology… 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 ... Rule and customer reserve computations. + Working knowledge of BetaNeXT and the broker dealer stock record/ + Working knowledge of financial and operational… 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 ... Wealth Management Advisor - PA, Philadelphia (2571) ( 180006WR...* LPL Financial, member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they… more
- Vanguard (Malvern, PA)
- …and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with investment adviser, ... its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related… 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 ... Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad… 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
- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... SEC-registered investment advisers, that are responsible for providing investment management services to proprietary mutual funds and separate accounts. You… more
- Deloitte (Philadelphia, PA)
- …a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear record ... within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting,… more
- Guardian Life (Bethlehem, PA)
- …agency and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, ... department projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong… more