- First National Bank of Omaha (Fort Collins, CO)
- …across wealth management (prefer experience with OCC, SEC, FINRA, trust, RIA, broker - dealer , capital markets). + Proven experience leading transformations and ... seeking a dynamic and experienced Vice President, Wealth Risk & Operations to lead Risk and Operations for our Wealth Division. The ideal candidate will bring… more
- TD Bank (Portland, ME)
- …requirements a plus.** + **Knowledge of current and emerging trends, including broker - dealer and RIA regulatory expectations and standards for effective ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...**Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance… more
- Santander US (Boston, MA)
- …Finance, Management, or equivalent field. - Required. 9+ Years Supervision & Trading in Broker Dealer - Required. * Ability to direct, train and guide peers, ... for overseeing all trading activities and supervisory functions within the broker - dealer . This individual will ensure compliance with regulatory requirements,… 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
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level… more
- Lincoln Financial (Harrisburg, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... 75150 **The Role at a Glance** We are excited to bring on an ** Operations Relationship Management Consultant** to support the Insurance Operations business in a… 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
- SMBC (Jersey City, NJ)
- …Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail banking operations ; US and LATAM representative ... assessments of various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how to utilize newly implemented CRA technology… more
- Lincoln Financial (Richmond, VA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... to bring on a **Training Specialist** to support Annuity Operations business line as part of the Insurance ...Operations business line as part of the Insurance Operations organization in a work from home environment. _Background… 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