- JPMorgan Chase (New York, NY)
- …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
- Citigroup (New Castle, DE)
- …balance sheet and liquidity objectives + Manage intercompany funding activities for Broker Dealer legal entities Project Management & Coordination + Provide ... SME analytical support for ongoing balance sheet, regulatory and technology projects Interest Rate Risk Management + Model and calculate risk impact of various balance sheet funding and hedging activities and coordinate execution with different RPM… more
- Robert Half Finance & Accounting (Chicago, IL)
- …to ###@roberthalf.c0m Responsibilities: + Owning daily and month-end close process for broker - dealer operations of DV Group which include posting journal ... entries, and reconciling balance sheet accounts. + Prepare FOCUS reports, regulatory filings, and calculation of regulatory net capital requirement. + Assist with regulatory audits and annual audits. + Collaborate closely with our team, auditors, and other key… more
- PNC (Cleveland, OH)
- …Senior preference would be to have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses are preferred or willingness to ... obtain * 3+ years of industry experience In addition to the job description below, the Compliance Program Specialist Senior will also be responsible for the following: - Coordinating regulatory compliance efforts for PNC's organizations, planning, developing,… more
- First Horizon Bank (Memphis, TN)
- …completion within 12 months) + Minimum 5 - 10 years of experience in broker - dealer , public accounting or other professional accounting role + Strong knowledge of ... Generally Accepted Accounting Principles, strong analytical and problem-solving skills, proficiency with Microsoft Office products, excellent interpersonal skills, and ability to work in a fast-paced environment **About Us** **First Horizon Corp. (NYSE: FHN)**… more
- JPMorgan Chase (Chicago, IL)
- …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
- Insight Global (San Francisco, CA)
- …by booking high-quality meetings with financial advisors and decision-makers across RIAs and broker - dealer networks. This is a purely outbound role where you'll ... own the entire top-of-funnel process from sourcing your own leads using tools like Discovery Data, to crafting personalized outreach cadences in Salesloft, to executing 100+ cold calls a day. You'll be the first point of contact for prospects, educating them… more
- Robert Half Finance & Accounting (Minneapolis, MN)
- …oversight. Qualifications 7+ years of relevant compliance experience; prior institutional broker - dealer experience is a plus. Bachelor's degree required, with ... a focus in Business, Economics, Computer Science, or a related field preferred. Proficiency with enterprise compliance systems, Microsoft Office Suite, and data analytics tools. Strong interpersonal and written communication skills; ability to liaise… more
- CGI Technologies and Solutions, Inc. (Jersey City, NJ)
- …role:** . 10+ years' experience in the capital markets financial industry (Bank/FBO/ Broker Dealer ). . Extensive experience with Adenza/Axiom Controller View ... (Nasdaq) . Understanding various industry solutions for preparing regulatory reports like automating SEC and FINRA regulatory reports. . Strong understanding of CCAR capital planning requirements. . Familiarity with stress testing methodologies and regulatory… more
- The Hartford (Wayne, PA)
- …* 3-5 years of wholesaling experience* Distribution channel experience with assigned broker dealer firms.* Track Record of success with existing relationships ... inside the territory with Financial Advisors at specified firms.* Technical proficiency of mutual funds* Must be fully licensed (Series 7, Series 63)* Individual must be sales focused and have demonstrated the ability to operate in a multitask environment and… more