- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **Desired Qualifications:** + 10+ years leading teams in syndicated loan operations and/or distressed credit + Proven success at managing large-scale credit… more
- First National Bank of Omaha (Omaha, NE)
- …metrics, SLAs, or business case development **_This position will support our broker - dealer and therefore will be subject to certain supervisory requirements. ... coordination or program management experience in any industry . Background in technology, operations , consulting, or vendor management . Experience with performance… more
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... compliance, audit, IT, and business teams. + Supervise day to day operations , set up processes for delivery including technical/functional documentation, scope of… 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 ... ensure timely closure of identified surveillance issues * Works with Compliance, Operations and other Santander functions closely to research industry trends and… more
- Truist (Richmond, VA)
- …job description:** The Business Unit Risk Advisor II role, advising the retail broker dealer business, engages with Business Unit leadership in its management ... in a financial institution with emphasis on risk management, audit, operations , process engineering or line of business specialty and/or equivalent education,… more
- ServiceNow, Inc. (New York, NY)
- …onboarding, complaints, fraud and disputes management to decedent, trade exceptions, broker / dealer servicing, etc -to execute **uniform information, predictive ... and wealth management (eg, enhanced customer experience, intelligent service operations , etc). Provide critical, industry-specific input during account planning,… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... the secondary marketing trade desk. * Work closely with all mortgage operations to promptly resolve documentation, processing and compliance issues and clear… more
- Santander US (Boston, MA)
- …stay current with competitive trends. + Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... investment/insurance service needs and maintaining consistent with compliance and operations standards + Proactive daily client management of operational items… more
- TopMark Funding LLC (Portsmouth, NH)
- …levels of communication with clients and our internal teams (Credit, Funding, Operations ) to ensure a seamless and efficient closing process. + Consistently meet ... 2+ years of successful sales experience originating equipment finance transactions in a broker business model, or comparable experience at an equipment dealer or… more
- Truist (Charlotte, NC)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... knowledge of retail brokerage and investment advisory industry rules, regulations and operations . + Strong organizational skills and the ability to multi-task. +… more