- Raymond James Financial, Inc. (New York, NY)
- …managing recruitment teams and working with independent advisors or broker - dealer environments preferred. **Licenses/Certifications** SIE required (unless ... improvement. Collaborate with cross-functional teams (eg, Transition Services, Marketing, Compliance ) to ensure a seamless advisor onboarding experience. Expand the… more
- Santander US (Boston, MA)
- …understanding of applicable Federal and State laws applicable to SEC registered broker - dealer . * Strong analytical and investigative skills and demonstrated ... and ensure timely closure of identified surveillance issues * Works with Compliance , Operations and other Santander functions closely to research industry trends and… more
- Ankura (New York, NY)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... as support during the post- license examination process. Ankura's team of compliance professionals and former regulators provides expert guidance from the day of… more
- Kestra Financial (San Antonio, TX)
- …years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, mutual ... handled accurately and in a timely manner, while maintaining compliance with industry regulations. + Build and strengthen client...to clients in an accessible manner. Operational Efficiency & Compliance + Maintain and update the CRM database to… more
- TD Bank (Exton, PA)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... and follows up on debt margin issues to ensure timely resolution and compliance with regulatory requirements. **Depth & Scope:** + Collaborates with the manager to… more
- Kestra Financial (Plano, TX)
- …record keeping adheres to compliance standards. * Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... compliance * Maintain CRM database; define and ensure adherence to appropriate client service models. * Manage multiple and competing priorities daily in pursuit of business objectives. * Regular client interaction including appointment scheduling and… more
- Cognizant (Fort Mill, SC)
- …**These will help you succeed** + Experience in a client-facing role within broker - dealer , RIA, investment, or financial services firms. + High level of ... cost and time to value. + Define and enforce system-wide compliance for non-functional requirements (performance, accessibility, interoperability). + Source latest… more
- TD Bank (New York, NY)
- …support various product lines **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... as needed due to internal changes or regulatory updates and ensuring compliance with all policies and procedures. + Supports management with business analysis… more
- TD Bank (White Plains, NY)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… more
- MUFG (New York, NY)
- …Prior internship or experience in financial services (Global Bank / Sales & Trading / Broker - Dealer ) is a plus (but not mandatory) The typical base pay range for ... , and cross-entity assignments and liaise with legal and compliance team + Produce predefined desk **KPI reports** periodically...in person / remote + Coordinate with **IT, HR, Compliance ** , **Finance** and other internal teams for ad… more