- Wells Fargo (Rochester, NY)
- …years of financial services industry experience + Experience in compliance or broker - dealer governance **Job Expectations:** + US only: Obtaining and/or ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Wells Fargo (Charlotte, NC)
- …training, military experience, education **Desired Qualifications:** + Knowledge of institutional broker / dealer trading practices across a vast array of products ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Charles Schwab (Westlake, TX)
- …Extensive experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital ... skills. + Experience in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness to learn new technical skills eg,… more
- Cleveland Research Company (Cleveland, OH)
- …product in the market. Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is seeking a qualified candidate ... and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains strong relationships… more
- Manulife (Boston, MA)
- …for Manulife John Hancock's investment products. Channel specific coverage includes Broker - Dealer /Platforms and Turnkey Asset Management Programs (TAMPs). ... and/or institutional investors. + Maintain responsibility for business channel knowledge ( Broker - Dealer /Platforms, TAMPs, and the Bank Trust channel), monitoring… more
- Charles Schwab (Westlake, TX)
- …etc.). Ideally familiar with investment products and services offered through a major broker - dealer , and eager to learn new things and apply knowledge to ... + 5-7 years legal experience in the securities industry (such as in a large broker - dealer or mutual fund firm) or in a law firm with direct contract drafting and… more
- TD Bank (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... compliance with US GAAP and IFRS standards. Key Responsibilities + Oversee monthly consolidation, including elimination entries, equity rolls, and all aspects of US and Non-US financial reporting. + Review and analyze documentation of monthly accounting… more
- Citizens (Boston, MA)
- …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. ... years of legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal securities laws, including the… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- San Francisco Federal Credit Union (San Francisco, CA)
- …interaction, ensuring outstanding member experience. Adhere to all regulatory, broker - dealer , and institutional compliance standards-upholding the highest ... inspire confidence and build lasting relationships. Proficiency in Microsoft Office and broker - dealer platforms. Why You'll Love It Here You'll work alongside a… more