- First Horizon Bank (Memphis, TN)
- …Officer to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker - dealer and a bank dealer and offer general support to ... Bachelor's Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker - dealer Compliance or equivalent in legal, compliance or audit + Series… more
- Aston Carter (West Des Moines, IA)
- …and direct business. You will assist clients in navigating systems associated with the broker - dealer and utilize the CRM tool to accurately record each call. You ... and direct business. + Assist clients in navigating various systems associated with the broker - dealer . + Utilize the CRM tool to accurately record each call. +… more
- Citigroup (Getzville, NY)
- …analytical skills. + 4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational risk disciplines; processes, ... **Objective** The Operations Regulatory Reporting group validates, monitors, & performs...Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. +… 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
- 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 Principal ... works closely with the Market Supervision Managers and the 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
- City National Bank (Los Angeles, CA)
- …Qualifications** * Two to five years of Client Service or Operational experience at a Broker Dealer or in an investment management environment. * FINRA Series 7 ... and work directly with clients, Financial Advisors, CNS Investment Operations and CNB Trust Operations to open,...years of Client Service or Operational experience at a Broker Dealer . * Knowledge of SEC and… 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
- 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
- TD Bank (Greenville, SC)
- …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