- Atria Wealth Solutions (Vancouver, WA)
- …with non-deposit investment and insurance products as registered and licensed by a third-party broker dealer under agreement with Columbia CU. + Using only the ... broker dealer 's approved product list, provide investment...NCUA and Investments and Insurance Group's non-NCUA marketing and operations in assigned branches. REQUIREMENTS + Minimum 5-7 years… more
- Bank of America (Charlotte, NC)
- …Qualifications** + Recent experience in a similar role in a top tier bank / broker - dealer or product development role in a large broker / dealer ... GMO Market Solutions Lead - Sr Operations Team Lead Charlotte, North Carolina **To proceed with your application, you must be at least 18 years of age.** Acknowledge… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... have the following abilities: to read, to perform arithmetic operations quickly and accurately; to see details and recognize...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- Scotiabank (New York, NY)
- …Testing Program covers US regulations applicable to all of Scotiabank's US broker - dealer (including internal inspections), banking, swap dealer , futures ... compliance testing or audit. + Experience/background in compliance applicable to broker - dealer internal inspections, institutional trading & sales, investment… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- Santander US (Dallas, TX)
- …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 Exchange Traded Derivatives & Clearing Operations , Vice President Country: United States of America **Your...Make:** The Pre & Post Trade ETD's & Clearing Operations VP, is responsible for supporting and protecting CIB… more
- Raymond James Financial, Inc. (Seattle, WA)
- …_About Raymond James:_ _RJA is an investment adviser and full-service broker - dealer dually registered with the Securities and Exchange_ _Commission. ... the NWPS Seattle, WA, Office._ Under supervision, supports daily operations for clients' retirement plans and their participants. You...Division of Raymond James."_ _RJA serves as a clearing broker - dealer and custodian for many of our… more
- PNC (Pittsburgh, PA)
- …sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad knowledge and… more
- JPMorgan Chase (New York, NY)
- …day-to-day operations of the business and delivering key outcomes across the broker dealer and client segments. You will help oversee strategic relationships ... **Job responsibilities:** Broker Dealers + Maintain relationships with the broker dealer community to increase awareness of JPM ETFs + Educate market… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related ... brokerage and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with investment adviser,… more
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