- ADP (Florham Park, NJ)
- …Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely ... of litigation. + Forward checks received by the firm to the designated broker - dealer lockbox. + Serve as the primary liaison for financial account processing and… more
- Kestra Financial (Sewickley, PA)
- …services, products and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a ... tools of the industry - financial planning software, analytical tools and broker / dealer or custodian systems Education and/or Experience + Bachelor's degree… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- Principal Financial Group (Addison, TX)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial professionals,… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing)… more
- Insight Global (New York, NY)
- …The Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency with ... 5 years of relevant work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance experience with a broker / dealer . more
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer . We strive to be a complete destination for traders looking to ... with Hold Brothers Capital LLC, are required to be registered, and licensed with our broker - dealer in order to trade at the firm. Either, an active Series 7 and… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other affiliates. This role will ... technical knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and challenge… more
- SMBC (Charlotte, NC)
- …within the Data Governance field for a Financial Institution (eg Bank Holding Company, broker dealer , swap dealer ) with focus on: documenting data ... of data. This role will support both SMBC Nikko Securities America, Inc. ( Broker - Dealer ) and SMBC Capital Markets, Inc. (Swap Dealer ). Role is located… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more