- SolomonEdwards (Tallahassee, FL)
- …Oversight Consultant to join a leading national financial services organization with significant broker / dealer operations . This hands-on role will lead the ... apply guidelines in practice. * Experience in: o First line operations (1LOD) for broker / dealer or non-deposit investment products (ideal), and/or o Second… more
- TD Bank (Fort Lauderdale, FL)
- …across multiple jurisdictions and business lines, including consumer and commercial banking, broker - dealer operations , and wealth management. This role also ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Experience supporting… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …strategies. * Advanced concepts, principles and practices of assigned functional area. * Broker / dealer operations . **Skill in:** * Identifying the needs of ... or national level. Serves as the Home Office sales contact for broker /dealers, Financial Advisors or executives desiring to learn about the department's services… more
- USAA (Tampa, FL)
- …+ Subject-matter-expert level of business acumen in the areas of annuity business operations , broker dealer sales processes and paperwork, sales suitability, ... in annuity operations support and service, preferably within a broker - dealer or insurance company utilizing third-party annuities distribution. + 2… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …securities industry. + Financial markets and products. + Principles of finance and broker / dealer operations . **Skill in** + Oral and written communication. ... + Assessing, analyzing, and explaining market events on assigned investment products. + Identifying and responding to client needs. + Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner. + Operating… more
- TD Bank (Fort Lauderdale, FL)
- …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and clearing platform operations and practices. + Billing systems and financial operations in a broker - dealer environment. + Contract pricing structures ... **Job Summary** The Operations & Billing Support Specialist plays a crucial...implementing unique pricing schedules for all RIA's and introducing broker dealers on the RCS platform, supporting fee collection… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- Truist (Jacksonville, FL)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker / dealer . **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more