- Wells Fargo (Charlotte, NC)
- …training, military experience, education **Desired Qualifications:** + Knowledge of institutional broker / dealer trading practices across a vast array of products ... statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing… more
- Truist (Richmond, VA)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... that the advisors, OSJs and/or branch offices are in compliance with industry rules, regulations as well as internal...that are routinely associated with those of a retail broker / dealer . **Essential Duties and Responsibilities** Following is… more
- Robert Half Finance & Accounting (Chicago, IL)
- …while emphasizing the importance of a work-life balance. Position Purpose: The Broker - Dealer Regulatory Reporter is responsible for compiling, analyzing, and ... Qualifications: Required: + 3-5 years of accounting experience, ideally in broker - dealer regulatory reporting + Deep understanding of securities markets,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... Division (RCS) serves as a clearing firm for independent broker dealers and as a custodian for independent Registered...+ Gain insight into how operational teams interact with compliance and product teams to deliver superior client experience… more
- MUFG (New York, NY)
- …Summary: We seek a skilled QA Engineer Analyst to join our team at a leading broker dealer in the capital markets. This role focuses on ensuring the quality and ... with cloud platforms (AWS, Azure, GCP). Preferred Qualifications: - Experience in broker dealer or financial services environment. - Certifications in QA… more
- Citizens (Boston, MA)
- …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. ... 10+ years of legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal securities laws, including the… more
- Kestra Financial (Kings Park, NY)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic financial planning… more
- Kestra Financial (Raleigh, NC)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- Vanguard (Malvern, PA)
- …leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness, risk management, ... and regulatory compliance of mission critical brokerage operations, while also supporting...segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA, OCC) and… more
- Charles Schwab (Westlake, TX)
- …Extensive experience in settlement operations with third-party bank custodians in either a broker / dealer or banking environments. + Must possess the skills vital ... resolution skills. + Experience in finance and accounting, particularly in the bank and broker / dealer space. + Knowledge of or willingness to learn new technical… more