- ManpowerGroup (New York, NY)
- …with large, complex projects involving multiple teams + Knowledge of securities broker / dealer registration and licensing rules + Proficiency in creating policy, ... Our client is seeking a Employee Compliance Registrations professional to join their team. As...Registrations professional to join their team. As a Employee Compliance Registrations specialist, you will be part of the… more
- Principal Financial Group (Addison, TX)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... onboarding new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing)… more
- Charles Schwab (Lone Tree, CO)
- …Financial Responsibility Rule requirements **What you'll do:** + Gain exposure to broker - dealer , bank, and corporate processes through robust risk assessments, ... status quo" and transform the finance industry together. The Sarbanes-Oxley Compliance Office (SCO) performs risk assessment, scoping, testing, concluding, and… more
- SMBC (Jersey City, NJ)
- …on technical regulatory issues involving our New York Branch, Bank Holding Company, broker / dealer , swap dealer and other affiliates. This role will ... deep technical knowledge of US regulatory rules, including capital requirements across banking, broker / dealer , and swap dealer entities. + Review and… more
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... . Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24 registrations… more
- Foresters Financial Services (Silver Spring, MD)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Atria Wealth Solutions (Marion, IN)
- …registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of ... To learn more about CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker - dealer and Registered Investment Advisor with a stable track record of… more
- Charles Schwab (Lone Tree, CO)
- …applications; . Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; . Advanced skills in Excel; . Knowledge of Python or ... for the design of company liquidity management policies, ensuring compliance at all times, and escalating issues to senior...to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the… more
- Equitable (Philadelphia, PA)
- …achieve your goals through: + Our open-architecture platform for client solutions + Our broker / dealer powered by one of the world's largest broker /dealers ... programs + Our competitive payouts + Our operation and compliance infrastructure support * LPL Financial, member FINRA, SIPC,...* LPL Financial, member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they… more