- City National Bank (New York, NY)
- …support, or operations within an investment management firm, hedge fund, or broker - dealer * Minimum 3 years of experience executing or supporting equity and ... individual and team accomplishments and areas of improvement to Director of Operations /Trading. * Participate in various Client Service meetings, as a representative… more
- Navy Federal Credit Union (Winchester, VA)
- …of federal, state, local and industry regulation affecting financial institutions to include Broker / Dealer + Upon selection for this position, will be expected ... Overview To supervise daily operations of NFFG registered and non-registered staff at...Federal Financial Group (NFFG). To plan, develop and monitor operations to ensure process efficiencies, staff effectiveness and prevent/reduce… more
- Lincoln Financial (Jefferson City, MO)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Tier 4 support for Application Registration (Oauth/OIDC)/Enterprise Application Registration (SAM) operations as needed. + Work closely with Security and Enterprise… more
- JPMorgan Chase (Columbus, OH)
- …+ Understand and drive control design that support unique regulatory environment for the broker - dealer subject to oversite by the bank and Retail Non-Deposit ... financial services firm with assets of $2.5 trillion and operations worldwide. The firm is a leader in investment...advanced risk and control approach. We also partner with Operations , Technology and Business leadership to take the best… more
- Truist (Bal Harbour, FL)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of… more
- City National Bank (Charlotte, NC)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk). Additionally, the position is responsible for maintaining and executing… more
- Lincoln Financial (Dover, DE)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... high volume Life Contact Center team supporting our Insurance Operations organization in a work from home environment. _Background...a work from home environment. _Background Details_ The Life Operations team will provide you with several weeks of… more
- TD Bank (New York, NY)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... Regulators) + In-depth knowledge of OCC, RIA and B/D Operations , investment products, trust + Must be able to...acumen, comfortable with IT systems that support wealth management operations + Prior engagement with regulators (eg, FINRA, SEC,… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... inquiries by regulators covering various businesses, functions and topics, including operations , finance, regulatory reporting, and sales and trading, and prepare… more
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... to manage their regulatory risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but not limited to: +… more