- TD Bank (Marlton, NJ)
- …Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Supervision ... organization, but specifically with Compliance, Legal, Distribution, Product, Risk, Operations , and Technology. **Depth & Scope:** + Partners with...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- MUFG (New York, NY)
- …including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + **Product Knowledge:** Expertise with a broad range ... the financial services industry, preferably in a relevant role within a Broker / Dealer or similar organization. + Demonstrated ability to effectively manage… more
- Neuberger Berman (New York, NY)
- …to ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the implementation of ... and leading high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory… more
- JPMorgan Chase (Columbus, OH)
- …from further analysis, and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker - dealer ... In this role, you will collaborate with Wealth Management Banking Operations and Asset Wealth Management Fraud Management to deliver client-focused solutions… more
- 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
- Citizens (San Francisco, CA)
- …5 years' experience in Fixed Income Sales & Trading compliance at a FINRA registered broker dealer . + In-depth knowledge of SEC and FINRA rules (trade reporting, ... subsidiary of Citizens Financial Group, operates as a FINRA-registered institutional broker - dealer offering comprehensive services in M&A advisory, investment… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and complexity with significant scope and impact focused on the firm's broker - dealer and investment advisory activities. Assesses risk within assigned internal ... Services, especially those associated with the registered investment advisory and broker - dealer divisions * Knowledge and understanding of industry regulations,… more
- Motion Recruitment Partners (New York, NY)
- …will have experience working in a collaborative work environment for a financial services/RIA/ Broker Dealer firm and have a passion for delivering outstanding ... process ongoing activity * Work with client types including direct/retail investors, broker dealer platforms, institutions and advisors * Support client… more
- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …Experience Required: + Ten plus years of experience in similar role at broker dealer , investment advisory firm, trust company or similar financial institution; ... Counsel, Inc., a subsidiary of Dunham, is an independently owned, registered Broker / Dealer and Investment Adviser helping Financial Advisors and individual… more