- Vanguard (Malvern, PA)
- …4 years law firm experience or in-house corporate experience in a bank, broker / dealer or investment firm. + Knowledge and experience in derivatives, securities ... futures, and/or prime brokerage as well as educate and inform for better compliance with policies, regulations and laws. + Advise, counsel and educate internal… more
- Commerce Bank (Kansas City, MO)
- …our Commerce Financial Advisors (CFA) accounts which use LPL Financial as a broker - dealer & Registered Investment Advisor. The team provides exceptional customer ... internal reporting for all CFA systems & partnering to support regulatory reporting and compliance + Provide subject matter expertise & serve as a go-to resource to… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... accurate manner while ensuring documentation and record keeping adheres to compliance standards. + Deepen client relationships and establish credibility and rapport… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... build their businesses and serve their customers through innovative products, marketing, compliance , and operational support. In June of 2021, we partnered with… more
- Brokers International (Urbandale, IA)
- …multiple projects simultaneously + Prior management, Registered Investment Advisor and Broker Dealer experience required. Life Insurance and Annuity experience ... build their businesses and serve their customers through innovative products, marketing, compliance , and operational support. In June of 2021, we partnered with… more
- Charles Schwab (Westlake, TX)
- …well-established firms. Hundreds of large financial advisors from the wirehouse, independent broker dealer , and other channels decide to make the transition ... of Schwab and third-party experts in areas such as legal and compliance , technology, marketing, real estate, infrastructure, and healthcare. The role is **_not_**… more
- TEKsystems (Charlotte, NC)
- …forms or other operational processes. Skills FINRA, administrative support, Smartsheet, RIA, Broker Dealer , excel, Additional Skills & Qualifications * Client ... to utilize technology to route materials externally (e-signature) and internally ( Compliance Max system) for review by advisors/assistants and internal business… more
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... controls, including assessment of integrity of financial statements and compliance with various external/regulatory reporting requirements. You will also be… more
- JPMorgan Chase (Jacksonville, FL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) +… more
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... engagements in partnership with internal and external AML and financial crimes compliance , audit, IT, and business teams. + Supervise day to day operations,… more