- Citigroup (Miami, FL)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area,...Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy… 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
- 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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and interact effectively with clients in various roles at the RIA or broker dealer , including executive management. + Constructively work under stress and ... to research and resolve complex, escalated issues regarding clients' accounts, operations processes and technology applications; follows the issue all the way… more
- TD Bank (New York, NY)
- …key control partners and the TDS front office. TD Securities is looking for a broker - dealer accountant to join its Product Control division in New York City. ... books and records and regulatory filings for its US broker -dealers as well as non broker dealers....all external & internal audit counterparts as well as operations and financial operations teams. Responsible for… more
- TopMark Funding LLC (Portsmouth, NH)
- …of strong performance. We are also interested in discussing opportunities with small broker shop owners with two or more years of successful equipment financing ... sales experience who are experienced in the broker business model and looking to expand their opportunity...business owners and equipment dealers. TopMark has an experienced Operations Team that provide our sales professionals with top… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / ... solutions based on your comprehensive understanding of our client, capital markets operations , and sound risk management practices. + Work closely with our product… more
- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs. + Consult on new products, services and automated… more
- NatWest Markets (Stamford, CT)
- …regulations and best practice first line procedures and processes for a US broker - dealer . + In-depth knowledge of pre-trade client onboarding processes related ... may be assigned as necessary to ensure the proper operations of the department and the business_ **US Client...to US broker -dealers and capital markets businesses with experience across a… more