- PNC (Pittsburgh, PA)
- …will be based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- MUFG (New York, NY)
- …the technical bridge between operations and the technology that powers our broker - dealer settlement engine. This role requires deep expertise in trade flows, ... dealer back office, financial technology, or equivalent financial operations roles. * Deep knowledge of broker -...financial operations roles. * Deep knowledge of broker - dealer products (equities, fixed income, ABS, MBS,… more
- Vanguard (Scottsdale, AZ)
- …payment systems and card operations . + Demonstrate strong understanding of broker - dealer cash management accounts and related regulations (eg, Reg E, Reg ... training and experience. Graduate degree preferred. + Deep expertise in broker - dealer cash management accounts, payment systems, card operations , and related… more
- Vanguard (Malvern, PA)
- …leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness, risk management, ... client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA, OCC) and overseeing numerous… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... & Custody Services Division (RCS) serves as a clearing firm for independent broker dealers and as a custodian for independent Registered Investment Advisor firms… more
- Charles Schwab (Westlake, TX)
- …You'll thrive if you're familiar with investment products and services from a major broker - dealer and have a genuine eagerness to learn, innovate, and simplify ... week. As a **Paralegal in our Trading, Marketing, and Operations Legal Group** , you'll play a vital role...administraton experience. + Experience in the securities industry (large broker - dealer or mutual fund firm) or… more
- ADP (Florham Park, NJ)
- …Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely ... Forward checks received by the firm to the designated broker - dealer lockbox. + Serve as the primary...preferred or equivalent experience in financial services, compliance, or operations . + Minimum of 2 years of experience in… more
- JPMorgan Chase (New York, NY)
- …you will provide critical guidance and support to several of the Firm's broker - dealer and investment advisory business groups for JP Morgan Wealth Management. ... + Serve as a primary legal contact supporting JP Morgan Wealth Management's broker - dealer and investment advisory products, services, and sales channels for… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …general commercial agreements, including those critical to the operation of a broker - dealer , registered investment adviser, and a bank holding company. * ... contracts with particular focus on contracts required for the operation of a broker - dealer , registered investment adviser and bank holding company. * Developing,… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls...Finance and Regulatory Reporting, Static and Reference teams, Regulatory Operations and consolidate them in a centralized place +… more