- Huntington National Bank (Dallas, TX)
- …of Investigations) background check with fingerprinting to be associated with the broker dealer . Not required to become a registered representative. Exempt ... Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay) Yes Workplace Type: Office Our Approach to Office Workplace Type Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the… more
- Santander US (Brooklyn, NY)
- …defined on a quarterly basis. * Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of investment ... and insurance products including Santander Policy Statement governing the sale of uninsured products. * When appropriate, provide leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans. * Attend and… more
- Charles Schwab (Lone Tree, CO)
- …Support the transformation of reporting into a strategic tool for optimizing bank and broker dealer functions. **What you have** + 5+ years relevant experience ... with an emphasis on communications, analytics, and reporting. + The ideal candidate has a banking/financial background and/or investor relations with an understanding of finance, accounting and balance sheet management, or financial and regulatory expertise. +… more
- City National Bank (Newark, DE)
- …Advisor, and partner firm contact information including the processing of all changes partner's broker dealer and/or RIA changes. WHAT DO YOU NEED TO SUCCEED? ... *Required Qualifications** * Bachelor's Degree or equivalent * Minimum 2 years of experience in the investment management industry * Minimum 2 years of experience in using Microsoft Office applications *Additional Qualifications* * Excellent computer literacy… more
- Wells Fargo (Asheville, NC)
- …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. + Specific compliance policies may apply regarding outside activities and/or personal investing; affected employees will be expected to provide information… more
- Bank OZK (Atlanta, GA)
- …of work experience in self-sourcing investment management assets in a banking, broker - dealer or registered investment advisor related role, preferred. + ... Experience with Money Guide or other Financial Planning tools, preferred. + Professional designation (ie, CTFA, CFP(R)), preferred. Job Expectations Job Expectations: O perate customary equipment and technology used in a business environment, with or without… more
- New York State Civil Service (Albany, NY)
- …reports for review by the unit Manager.Assist in the evaluation of broker - dealer and other service provider performance.Assist with the development and ... maintenance of the Bloomberg trading system, including the set-up and maintenance of reports, interfaces, and troubleshooting.Assist in the preparation and maintenance of schedules with a moderate level of difficulty.Assist in the preparation of management… more
- City National Bank (New York, NY)
- …and partner firm contact information including the processing of all changes partner's broker dealer and/or RIA changes. * Collect information from third parties ... and transcribe to CNB systems and enter manually into system records, collect signatures and then open accounts * Data entry from pdfs into spreadsheets and Salesforce *The Qualifications* * Excellent computer literacy with a proven proficiency in Microsoft… more
- MUFG (Irving, TX)
- …+ 5-7 years of Compliance and Control Room experience required + FINRA Broker Dealer experience + Strong knowledge of financial markets, investment banking, ... capital markets and products + Outstanding analytical and organizational skills + Experience delivering on projects + Experience working in a large international organization preferred + Excellent communications skills (verbal and written) + Experience with… more
- Wells Fargo (Cumberland, MD)
- …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. **Posting Location:** **217 Glenn Street, Suite 501, Cumberland, MD 21502** **Pay Range** Reflected is… more