- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA)… more
- Principal Financial Group (Des Moines, IA)
- …financial services industry, with extensive senior-level expertise in broker - dealer and investment advisor compliance, risk management, operations , ... We're seeking an accomplished leader to oversee our Individual Solutions RIA and Broker - Dealer Supervisory Program. This high-impact role reports directly to the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …securities industry. + Financial markets and products. + Principles of finance and broker / dealer operations . **Skill in** + Oral and written communication. ... + Assessing, analyzing, and explaining market events on assigned investment products. + Identifying and responding to client needs. + Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner. + Operating… more
- Kestra Financial (Castle Rock, CO)
- …experience in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but ... not limited to: equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 preferred +… more
- Kestra Financial (Palo Alto, CA)
- …of experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including ... but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts. Location Palo Alto, California Job Type: Full-time Salaried Pay: $50,000.00 - $60,000.00 per year Base plus Bonus (Uncapped) We Offer: Base Salary, and… more
- Kestra Financial (Fort Worth, TX)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts * Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration * Series 7 and 63 required * Series 65/66… more
- Kestra Financial (Cypress, TX)
- …experience in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but ... not limited to equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 preferred + Series… more
- Kestra Financial (West Hartford, CT)
- …of experience in the financial services industry with a strong understanding of broker / dealer operations and financial services products, including but not ... limited to: equities, bonds, ETFs, mutual funds, annuities, insurance, and managed accounts. + The ideal candidate should have some clients for whom they are the advisor of record. Certificates, Licenses, Registration + Series 7 & 66 or 7, 63 & 65 + Life &… more
- Kestra Financial (Wappingers Falls, NY)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 required + Series 65/66… more
- PNC (Chicago, IL)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... services designed to add value and recommend improvement to the organization's operations . Using cutting edge technology, you would participate in a collaborative… more
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