- Kestra Financial (Wappingers Falls, NY)
- …in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 required + Series 65/66 preferred: (or… more
- MUFG (New York, NY)
- …Prior internship or experience in financial services (Global Bank / Sales & Trading / Broker - Dealer ) is a plus (but not mandatory) The typical base pay range for ... this role is between $69K - $100K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program… more
- Robert Half Finance & Accounting (Boston, MA)
- …Requirements At least 2-5 years of compliance or risk management experience for a broker - dealer or investment advisor is required, along with a FINRA Series 7, ... 24, and 63/66 licenses. This role requires candidates to demonstrate strong interpersonal skills, confidentiality, and proficiency in compliance-related monitoring systems, and travel may be required for branch exams. Please send your resume to Thatiane… more
- US Tech Solutions (Newark, NJ)
- …systems + Must have experience with DTC Corp Actions processing functions and broker dealer operations + Knowledge of BPS settlement systems is preferred ... but not required + Strong verbal and written communication skills + Ability to multitask and take ownership of complex issues, as well as achieve deadlines and be able to work effectively as part of a team + Experience using Microsoft Office (Excel, Outlook,… more
- Wells Fargo (Cleveland, OH)
- …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:** 950 Main Avenue, Suite 300, Cleveland, OH 44113 **Posting End Date:** 28 Nov 2025… more
- Wells Fargo (Greenville, 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. + This position is not eligible for Visa sponsorship. **Posting location:** 820 Red Banks Rd Greenville, NC 27858 **Posting End Date:** 30 Nov 2025 **_*Job… more
- Mizuho Corporate Bank (New York, NY)
- …risk capital calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III + Conduct quantitative ... analyses to explain variation in the risk capital under US and Japanese Basel approaches + Prepare and distribute risk capital reports, including rigorous data validation and effective commentary + Review, monitor, and manage risk capital budgets + Establish,… more
- Wells Fargo (New York, NY)
- …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 or personal investing; affected employees will be expected to provide information to… more
- ServiceNow, Inc. (New York, NY)
- …onboarding, complaints, fraud and disputes management to decedent, trade exceptions, broker / dealer servicing, etc -to execute **uniform information, predictive ... AI, and unmatched operational efficiency.** **What You Will Drive: CRM & AI for Strategic Success** **Your focus will be on converting industry complexity into measurable business value:** + **Financial Services Vertical Strategy & Execution:** + **Account… more
- The Hartford (Wayne, PA)
- …in the territory + A demonstrated track record of success in the assigned broker dealer firms + Additional industry designations (ie, CIMA, CFA) Compensation The ... listed annualized base pay range is primarily based on analysis of similar positions in the external market. Actual base pay could vary and may be above or below the listed range based on factors including but not limited to performance, proficiency and… more