- US Bank (St. Paul, MN)
- …and repo trade settlement. + Overnight Funding and intraday liquidity Management for the Broker Dealer (for both the Retail and Capital Markets business units). ... This role requires a strong background in capital markets operations , with a focus on fixed income settlements, ...operations , with a focus on fixed income settlements, dealer , repo and firm funding activity. + Leading daily… more
- Santander US (Miami, FL)
- …in all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services ... Pre & Post Trade ETD's & Clearing Operations VP Country: United States of America **Your...Make:** The Pre & Post Trade ETD's & Clearing Operations VP, is responsible for supporting and protecting CIB… more
- Foresters Financial Services (Indianapolis, IN)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- GE Vernova (New York, NY)
- …markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance: Coordinate and execute compliance obligations for ... regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private… more
- MUFG (New York, NY)
- …related field + 2+ years of experience in a similar business analyst or market operations role, preferably within a broker - dealer or financial institution + ... for the FR2004 reporting, will support the Fed's FOMC Operations , and will support the Fixed Income primary and...documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system… more
- Brokers International (Urbandale, IA)
- …multiple projects simultaneously + Prior management, Registered Investment Advisor and Broker Dealer experience required. Life Insurance and Annuity experience ... Job Title: Director of Operations Business Unit: Brokers International Financial Services Location:...Mark Williams, BI is making significant investments in talent, operations , sales and marketing capabilities, and digital platforms in… more
- Aston Carter (West Des Moines, IA)
- …and deadline-driven environment. Additional Skills & Qualifications + Expert familiarity with operations topics such as ACATs, broker - dealer changes, ... Job Title: Operations CoordinatorJob Description The Operations Coordinator will be responsible for processing daily work associated with the department,… more
- TD Bank (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... Maintain sub-ledger to general ledger mapping logic; liaise with Product Control and Operations for testing and application. + Manage chart of accounts and mapping.… more
- TD Bank (Hartford, CT)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or escalating flagged… more
- Raymond James Financial, Inc. (Southfield, MI)
- …for new offerings, corporate actions, and regulatory changes. Advocate for the broker - dealer industry within the mutual fund ecosystem and through active ... **Key Responsibilities** + Own the end-to-end mutual fund operations function, including governance of securities master and trading restrictions; trade execution… more