- Raymond James Financial, Inc. (New York, NY)
- …knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and regulations of ... the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear,… more
- Equitable (New Orleans, LA)
- …will develop and manage consultative relationships with existing National, Regional, and Insurance Broker Dealer advisors within the territory of: TX, OK, AR, ... LA, MS Responsibilities include, but are not limited to: + Assess and identify the needs of advisor clients in order to promote new products. + Develop new producers while retaining existing producers to grow market share. + Educate and train advisors on 1290… more
- US Bank (Milwaukee, WI)
- …financial intermediaries in the areas related to electronic trading as well as broker / dealer servicing. The processing of trades, including timely and accurate ... resolution of rejects, account transfers and maintenance updates, problem solving and research, and money movement to/from financial institutions will be performed daily. Duties are balanced between customer service (to internal and external clients),… more
- JPMorgan Chase (Columbus, OH)
- …standards. Job Responsibilities + Perform on-site and remote compliance examinations of broker - dealer and investment advisory businesses to ensure adherence to ... firm policies and procedures. + Conduct analysis of trading branch configuration, and documentation as part of compliance examinations. + Evaluate findings and formulate conclusions in written reports, schedules, worksheets, and narrative materials. +… more
- Wells Fargo (Charlotte, NC)
- …services industry experience + Experience in branch office supervision, compliance, broker - dealer governance, sales supervision **Job Expectations:** + US only: ... Obtaining and/or maintaining appropriate FINRA license(s) is required for ongoing employment in this position. Compliance with state law registration and licensing requirements is mandatory. In addition to state registration and licensing requirements,… more
- Wellington (San Francisco, CA)
- …investment/alternatives sales to financial advisors across wire houses, independent and regional broker dealer and other large wealth platforms. The primary ... focus will be marketing Wellington's public and private investment strategies to both new and existing clients across the wealth ecosystem. The successful candidate will bring broad asset management expertise and a keen understanding of the wealth distribution… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or ... 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or the ability to obtain within 120 days of hire). + Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they… more
- Robert Half Technology (Philadelphia, PA)
- …a relevant field. * At least 2-3 years of experience working in a Broker / Dealer , Investment Adviser, or similar financial services role. * Proficiency in ... Microsoft Excel and understanding of fundamental statistical principles. * Strong technical documentation skills and ability to convert complex relationships into actionable technical requirements. * Excellent communication skills, including oral, written, and… more
- Robert Half Office Team (Columbus, OH)
- …We are looking for an experienced Operations Associate to support the institutional broker - dealer operations team at a large financial institution in Columbus, ... Ohio. In this long-term contract role, you will oversee client onboarding, asset movement, account maintenance, and ensure compliance with organizational policies. This position offers the opportunity to collaborate on process improvements and contribute to… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... verbal and written communicator with detailed oriented nature. + Must have strong subject matter knowledge of financial crime risks and controls relating to investment banking / capital markets, with a preference for candidates also displaying this knowledge… more