- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... * Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain internal controls consistent with the… more
- MUFG (New York, NY)
- …database changes, GUIs, reports, and dashboards, particularly for P&L calculation in the broker - dealer domain; Coding in SQL, MDX (including writing complex SSAS ... (or foreign equivalent degree). Experience: 3 years of experience in the broker - dealer domain within the financial services industry supporting multi-terabyte… more
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset classes… more
- Aegon Asset Management (Denver, CO)
- …changes, new competitor offerings, internal product changes, and changes to the way broker - dealer partners want to do business with Transamerica. + Facilitate ... travel to assigned regions to strengthen relationships, attend regional events, broker - dealer partner meetings, and regional events Compensation Please note… more
- Truist (Richmond, VA)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker / dealer . **Essential Duties and Responsibilities** Following is a summary of… more
- Vanguard (Malvern, PA)
- …The ideal candidate will have expertise and knowledge in financial markets and broker - dealer products and services, along with brokerage and banking regulations ... school + Minimum 4 years of related experience required + Knowledge of broker - dealer and banking regulations + Experience and comfort in dealing with ambiguity… more
- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic financial planning… more
- Guardian Life (Nashville, TN)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with experience at ... an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... and implement processes to streamline and standardize annual reporting to regulators across broker -dealers and swap dealers and draft relevant content + Act as a… more