- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... for an experienced Controller to oversee and optimize accounting operations for our organization in Dallas, Texas. The ideal...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… more
- TD Bank (Vienna, VA)
- …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 Senior Support Specialist is responsible for the strategic and operational… more
- TIAA (Charlotte, NC)
- …as well as product development and management. + Experience in wealth and broker / dealer risk management. + Experience working closely with legal, compliance and ... The Wealth CIO team is seeking an experienced Sr. Director of Operations , Execution, and Risk. This person would ensure that investment and business processes are… more
- Vanguard (Malvern, PA)
- …The ideal candidate will have expertise and knowledge in financial markets and broker - dealer products and services, along with brokerage and banking regulations ... of the Cash Management business, including strategy, sales, marketing, operations and risk management. + Advise on FINRA, SEC...4 years of related experience required + Knowledge of broker - dealer and banking regulations + Experience and… more
- TD Bank (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... electronic communications. This role works closely with the supervision, operations , compliance, and risk departments of the US Wealth...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Robert Half Finance & Accounting (Chicago, IL)
- …while emphasizing the importance of a work-life balance. Position Purpose: The Broker - Dealer Regulatory Reporter is responsible for compiling, analyzing, and ... Qualifications: Required: + 3-5 years of accounting experience, ideally in broker - dealer regulatory reporting + Deep understanding of securities markets,… more
- Santander US (Miami, FL)
- …will be responsible for the execution of day-to-day controls related to the Broker Dealer . This includes ensuring high service quality, regulatory compliance, ... Bachelor's Degree or equivalent work experience 5-10+ Years of relevant experience; Broker Dealer experience. **Certifications:** * Other Risk Certification -… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more
- Aegon Asset Management (Denver, CO)
- …changes, new competitor offerings, internal product changes, and changes to the way broker - dealer partners want to do business with Transamerica. + Facilitate ... Job Family Sales Support / Operations About Us At Transamerica, hard work, innovative...to assigned regions to strengthen relationships, attend regional events, broker - dealer partner meetings, and regional events Compensation… more
- M&T Bank (Orange, CA)
- …and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the documents, enter ... **Overview:** Coordinates workflow among Sales, Operations , Credit, and senior management within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy… more