- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Wealth Management and Products Solutions clients, including Advisors, Sales Management, Operations , Risk, and Controls, as needed. You will work closely with… more
- Equitable (Charlotte, NC)
- …**Qualifications** **Required Qualifications:** + 5 years of industry experience in insurance or broker dealer service operations , compliance or audit with a ... + Knowledge of life, annuity, brokerage and investment advisory products and operations + Knowledge of Equitable's products, processes and controls of the… more
- MUFG (New York, NY)
- …or a related field. + 8+ years of progressive experience within a broker - dealer back-office or equivalent financial operations role. + Extensive ... flows, securities processing, vendor management, and settlement processes within the broker - dealer environment. The ideal candidate will possess a comprehensive… more
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... Management and Consolidated US Operations (CUSO) Resolution Planning. Reporting directly to the Treasurer,...the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and… more
- Motion Recruitment Partners (New York, NY)
- …Management, Stress Testing/ CCAR. + Risk & Controls experience. + Strong Understanding of Broker dealer Front office operations and Products. + Proficiency ... using MS Excel for data analysis. + Experience creating PowerPoint presentations. + Strong written, verbal, and interpersonal communication skills.. **What You Will Be Doing** + Support Recovery and Resolution Model Transformation working with technology. +… more
- City National Bank (Dallas, TX)
- …* Working knowledge of risk management and/or internal control techniques of investment operations , broker dealer and wealth management is beneficial. ... adherence to regulatory requirements and Bank policies, and the effectiveness of operations of the BSA/AML function. The Senior Manager will be responsible for… more
- TD Bank (Portland, ME)
- …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and clearing platform operations and practices. + Billing systems and financial operations in a broker - dealer environment. + Contract pricing structures ... **Job Summary** The Operations & Billing Support Specialist plays a crucial...implementing unique pricing schedules for all RIA's and introducing broker dealers on the RCS platform, supporting fee collection… more
- Broadridge Financial Solutions (Denver, CO)
- …mutual fund families and clients to establish accounts with fund families, verify broker dealer information, and research commission inquires. We are made up ... Broadridge team. Broadridge is growing! We are seeking an Operations Associate to join our team. In this role...reports to fund families once accounts are established for broker dealer verification. + Research and resolve… more
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between...and regulatory requirements. + Ensure that the goals and operations of the Patelco Financial Solutions aligns with the… more