- Foresters Financial Services (Silver Spring, MD)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Foresters Financial Services (Indianapolis, IN)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- GE Vernova (New York, NY)
- …markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance: Coordinate and execute compliance obligations for ... regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, setup, ... a similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global… more
- Charles Schwab (Lone Tree, CO)
- …applications; . Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; . Advanced skills in Excel; . Knowledge of Python or ... with Funding desk to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the metric . Provide liquidity guidance… more
- Equitable (Charlotte, NC)
- …Advisors, the focus of the firm's growth strategy. Equitable Advisors is a broker / dealer and registered investment advisor that serves as the main retail ... SEC and FINRA a compliance programs related to its investment advisory and broker / dealer operations. Reporting to the CCO are the Firm's 3120 audit teams,… more
- Equitable (Philadelphia, PA)
- …achieve your goals through: + Our open-architecture platform for client solutions + Our broker / dealer powered by one of the world's largest broker /dealers ... support * LPL Financial, member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they are not affiliated. **Qualifications**… more
- Atria Wealth Solutions (Lunenburg, MA)
- …the future! Function: Sell investment and insurance products, available through our Broker Dealer , to individuals and small businesses by providing investment ... FINRA / SIPC (http://www.sipc.org/) ). CFS (Member FINRA/SIPC) is a registered broker - dealer and SEC Registered Investment Advisor with a stable, 25-year track… more
- Atria Wealth Solutions (Marion, IN)
- …registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of ... To learn more about CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker - dealer and Registered Investment Advisor with a stable track record of… more