- Santander US (Miami, FL)
- …in all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services ... + Knowledge of compliance to CIB around execution of controls to minimize the operational risk + Proven experience in providing a project status update with timely priorities and in communicating convincingly to management + Collaborative and communication… more
- TD Bank (New York, NY)
- …traders and executes the trade + Ensures all trades are confirmed with the broker / dealer + Inputs trades (post execution), and Verifies transactions meet company ... (including investor relations professionals and C-suite as well as Buy-Side Broker Liaisons). + Work independently while managing multiple live events/projects. +… more
- Atria Wealth Solutions (Corning, NY)
- …about 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 ... needs of credit unions and their members. We're ranked as one of the top broker -dealers in the industry and we work with some of the top financial institutions in… more
- HUB International (Fort Lauderdale, FL)
- …deliverables + Track plan progress per workflow + Stay up to date with broker dealer /RIA changes and updates + Manage insurance, investment and legal review ... HUB INTERNATIONAL:** Hub International is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee… more
- Atria Wealth Solutions (Raleigh, NC)
- …about 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 ... needs of credit unions and their members. We're ranked as one of the top broker -dealers in the industry and we work with some of the top financial institutions in… more
- NatWest Markets (Stamford, CT)
- …of broker dealerfinancial regulationor accounting firm experience auditing a US regulated broker dealer + Must have experience working with SEC rule 15c3-1 ... and 15c3-3 + Strong Accounting background + Exceptional communication skills, written and verbal + The ability to problem-solve creatively and constructively + Ability to partner with business stakeholders internally and externally + Timely… more
- KeyBank (Cleveland, OH)
- …* Solid communicator both internally and externally with clients, prospects and the broker dealer community. * Responsible for building solid relationships and ... trust with Portfolio Manager's in the field, senior management and broker dealers. * Operates with a continuous improvement mindset. * Responsible for building solid… more
- M&T Bank (Orange, CA)
- …and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the documents, enter ... within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy of dealer records in various internal systems. Provides administrative support, including… more
- JPMorgan Chase (Mckinney, TX)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Wells Fargo (St. Louis, MO)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + This position is not eligible for Visa sponsorship. + Ability to travel up to 30% of the time. + Follow enterprise in-office requirements. **Posting… more