- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (… more
- Navy Federal Credit Union (Fredericksburg, VA)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate account… more
- Truist (Richmond, VA)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... that are routinely associated with those of a retail broker / dealer . **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
- Deloitte (Mclean, VA)
- …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
- Truist (Richmond, VA)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu… more