- 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 (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
- Kestra Financial (Beaver, PA)
- …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
- Raymond James Financial, Inc. (Southfield, MI)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations . **Skill in:** * Identifying the needs of ... * Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. * Works… more
- CIBC (New York, NY)
- …(https://www.cibc.com/en/about-cibc.html) **What you'll be doing** In the capacity of the US Broker Dealer Treasurer, this role will oversee funding, capital and ... liquidity activities in the US Broker Dealer and support strategic initiatives by...improvements and strategic technology initiatives working with partners in Operations , Finance, Treasury and other areas throughout the organization… more
- Kestra Financial (San Antonio, TX)
- …5+ years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, ... directly to the Financial Planner and manages the firm's client service operations , overseeing support staff and enhancing the client experience through proactive… more
- Citizens (Westwood, MA)
- …planning. Required Qualifications: + 7+ years of experience in wealth management, broker - dealer operations , or financial services + Proven leadership ... Ops Group Manager, you are responsible for overseeing and managing the operations of the wealth management group. Additionally, you ensure efficient and effective… more
- Raymond James Financial, Inc. (Denver, CO)
- …and any other applicable fraud-related regulatory or industry rules and guidance. + Broker - dealer operations , transaction methods & financial products, and ... with internal stakeholders (eg, Quality Control, Analytics, Compliance, Legal, Operations , Technology) and external partners (eg, financial institutions, law… more
- Raymond James Financial, Inc. (Denver, CO)
- …and any other applicable fraud-related regulatory or industry rules and guidance. + Broker - dealer operations , transaction methods & financial products, and ... with internal stakeholders (eg, Quality Control, Analytics, Compliance, Legal, Operations , Technology) and external partners (eg, financial institutions, law… more
- Charles Schwab (Westlake, TX)
- …5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or ... the efficiency of governance processes, risk management, and internal controls. The Broker - Dealer /Asset Management enterprise team is seeking a Senior Auditor… more