- 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 ... and interpreting legal documents for validity, content, accuracy, and compliance with applicable regulatory requirements and firm guidelines. Seeking...in the securities industry (such as in a large broker - dealer or mutual fund firm) or in… 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
- 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. ... bring a strong background in audit, financial reporting, and compliance , with a proven ability to enhance processes and...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… 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 ... support regulatory exams, inquiries and actions. + Collaborate with Compliance , Risk, Audit and other shared service functions, to...4 years of related experience required + Knowledge of broker - dealer and banking regulations + Experience and… more
- CIBC (New York, NY)
- …You'll Succeed** + Supervise and conduct surveillance of the US registered broker - dealer securities trading products, as well as OTC derivative/swap trading ... degree + Minimum 5+ years' experience in handling securities and OTC derivative/swap compliance issues gained at an investment dealer , regulator or marketplace +… more
- Manulife (Workman, MN)
- …years of internal or external life insurance wholesaling experience at the carrier level, broker dealer or wire house. Successful point of sale experience is ... but not limited to: Brokerage General Agents, banks, wirehouses, broker -dealers, and the JHI team. + Identify and prioritize...team. + Territory adherence to JHI's Market Conduct and Compliance policies and procedures. + Communicate the Code of… more
- Manulife (NC)
- …years of internal or external life insurance wholesaling experience at the carrier level, broker dealer or wire house. Successful point of sale experience is ... but not limited to: Brokerage General Agents, banks, wirehouses, broker -dealers, and the JHI team. + Identify and prioritize...team. + Territory adherence to JHI's Market Conduct and Compliance policies and procedures. + Communicate the Code of… more
- Santander US (Miami, FL)
- …in all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services ... fully compliant with US regulations (mainly CFTC and CME), Legal requirements, and Compliance and Tax policies. + Effective execution of controls around the ETDs… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or finance and a minimum of five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or similar in a related role ~or~ * ... structures, offering terms, trading and operations, along with legal and compliance programs. The Director retains latitude for unreviewed decision making and… more