- Kestra Financial (West Hartford, CT)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... products, and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Develop Centers of Influences such as… more
- M&T Bank (Boston, MA)
- …of 5 years of relevant work experience, such as in compliance, trading or broker - dealer operations + Strong analytical and problem-solving skills, as well ... **Overview:** M&T Securities, Inc. is the institutional broker - dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role… more
- Kestra Financial (Sewickley, PA)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a demonstration… more
- Raymond James Financial, Inc. (New York, NY)
- …as a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable ... the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates and division of responsibilities within the… more
- TD Bank (Fort Lauderdale, FL)
- …across multiple jurisdictions and business lines, including consumer and commercial banking, broker - dealer operations , and wealth management. This role also ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Experience supporting… more
- Principal Financial Group (Modesto, CA)
- …a related field preferred. + 2+ years of related work experience in life insurance/ broker - dealer or RIA operations : client service, account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… more
- Kestra Financial (Raleigh, NC)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Kestra Financial (Knoxville, TN)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards * Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Guardian Life (Bethlehem, PA)
- …on department projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong ... and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, and financial… more
- Kestra Financial (Kings Park, NY)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more