- Bank of America (Addison, TX)
- …on volumes. **Required Skills:** + Minimum two years of experience working in broker dealer operations with knowledge of common operational issues, controls and ... quality assurance (QA) + Prior experience serving as lead in an operational environment or currently working as a consistently high performing GWIM Service Operations Representative + Must be able to give clear effective examples of past successes in teamwork,… more
- Santander US (Boston, MA)
- …understanding of applicable Federal and State laws applicable to SEC registered broker - dealer . * Strong analytical and investigative skills and demonstrated ... ability to operate at a strategic level. * Sound judgment in identifying risks in order to proactively escalate with relevant senior management. * Excellent written (drafting & editing) and spoken communication abilities. * Excellent teamwork, interpersonal… more
- Wells Fargo (Los Angeles, CA)
- …with or supporting independent financial advisors, RIAs, or within an independent broker - dealer environment. + Deep understanding of the independent advisor ... business model, including operational flexibility, compliance nuances, and client service dynamics. + Proven ability to navigate complex organizational structures and influence without direct authority. + Familiarity with wealth management platforms, advisor… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker / dealer operations. + Wealth Planning offerings and partnerships, including ... longevity, insurance, and investments relationships. + Detailed and in-depth understanding of Money Guide Pro Elite and Wealth Studios **Skill in** + Excellent problem solving skills to identify the needs of clients through effective questioning and listening.… more
- BMO Financial Group (New York, NY)
- Member of the broker / dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed ... assist in CMC regulatory reporting and other financial/statutory reporting matters. Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury activity. + Preparation of weekly… more
- Wells Fargo (San Francisco, CA)
- …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. **Pay Range** Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills,… more
- JPMorgan Chase (New York, NY)
- …channels to proactively position our real estate solutions through RIA's and our broker - dealer partners. + Develop and implement a comprehensive sales strategy ... that aligns with the platform's objectives, driving both growth and competitive positioning. + Work collaboratively with internal partners to position our real estate solutions, focusing on consistency, efficiency, and timely delivery of materials and reports.… more
- Wells Fargo (New York, NY)
- …a focus on margin and Prime Brokerage accounts + Strong knowledge of Broker - Dealer Operations functions with a preference for margin regulations and frameworks, ... including Reg. T, FINRA 4210, and Portfolio Margining + Experience with daily monitoring of exceptions and executing proper close-out procedures + Ability to multi-task in a fast-paced environment while maintaining attention to detail and complying with all… more
- Truist (Richmond, VA)
- …job description:** The Business Unit Risk Advisor II role, advising the retail broker dealer business, engages with Business Unit leadership in its management ... of risks and controls as well as its execution of risk program requirements. Execute, facilitate and/or monitor execution of Risk Program requirements (eg, RCSA, KRIs, etc.). Provide strategic insight, risk advice and influence to assigned Business Unit.… more
- Huntington National Bank (Columbus, OH)
- …more years municipal underwriting operations, fixed income operations, or similar broker dealer operations experience + Bachelors Degree Preferred ... Qualifications: + FINRA Series 52 current or Series 7 prior to 11- 2011 or willing to obtain the 52 within 6 months of employment + Experience in fixed income securities + Proficient with Bloomberg TOMS and Ipreo Municipal Bookrunning systems + Ability to… more