- Truist (Richmond, VA)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker / dealer . **Essential Duties and Responsibilities** Following is a summary of… more
- MUFG (New York, NY)
- …3-5 years of experience in US Treasury securities settlements, preferably in a broker - dealer environment. + Strong analytical and problem-solving skills with a ... high attention to detail. + Proficiency BONY BDC, Broadridge Impact, Broadridge BPS and MS Excel. + Excellent communication and interpersonal skills. + Ability to work independently and as part of a team in a fast-paced environment. + Meticulous in ensuring… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …assigned. **Qualifications - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and ... necessary to analyze investment structures, offering terms, trading and operations , along with legal and compliance programs. The Director...five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly visible, senior ... one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee...and completion of the ADV forms with support of operations and advisor staff. + Participate in the investment… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business ... relationships with members and internal/external sources + Execute customer and broker purchase/sales orders of securities for current/new clients + Identify… more
- NatWest Markets (Stamford, CT)
- …of broker dealerfinancial regulationor accounting firm experience auditing a US regulated broker dealer + Must have experience working with SEC rule 15c3-1 ... Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business._ Be a member of a team of regulatory… more
- BlackRock (Wilmington, DE)
- …and fund accountants, and processing of TBA allocations. Day to day management of broker / dealer and custody relationships is a key focus as well as fostering ... passion? Look no further. BlackRock is currently seeking an Operations Analyst to become part of our team. We...organization that makes a difference. **Team Overview** Technology & Operations (T&O) coordinates the firm's worldwide operations … more
- HSBC (New York, NY)
- …finance, economics, or a related field + Extensive experience in a bank or broker - dealer , with a focus on equities markets, specifically equity derivatives - and ... matters, monitoring activities, providing effective review and challenge on business operations , initiatives, and state of controls, and engaging on various aspects… more
- Truist (Nashville, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... Supervisor will work closely with Truist Private Financial Advisors, CSAs, Regional Operations Managers and Complex Managers. The individual will be a member of… more
- Wells Fargo (Sioux Falls, SD)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... controls, technology and service inquiries from Financial Advisors, Client Associates, Operations and other branch and Support Center employees to resolve complex… more