- Fifth Third Bank, NA (Cincinnati, OH)
- …to Middle Office, Compliance, IT, Trading, Accounting; Fifth Third Securities' Broker Dealer , National Financial Services/Pershing, and other third-party ... role covers a broad area of responsibilities within Institutional Brokerage Operations , supporting Capital Markets Fixed Income, Equity, Fifth Third Money Market… more
- First National Bank of Omaha (Omaha, NE)
- …for executive reporting and cross-team coordination **_This position will support our broker - dealer and therefore will be subject to certain supervisory ... You'll be a key member on a team focused on monitoring operations and incident management while strategically building capabilities in automation, reliability… more
- MUFG (New York, NY)
- …Prior internship or experience in financial services (Global Bank / Sales & Trading / Broker - Dealer ) is a plus (but not mandatory) The typical base pay range for ... seeking exposure to dynamic **global markets** and complex **financial operations ** , and **global &** **cross-functional collaboration** . **Responsibilities:** +… more
- First Horizon Bank (Memphis, TN)
- …completion within 12 months) + Minimum 5 - 10 years of experience in broker - dealer , public accounting or other professional accounting role + Strong knowledge of ... and external financial reports accurately reflect the results of FHN Financial operations and performance + Financial forecasting - prepare periodic income statement… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or ... to support the firm's Compliance Program. You will report to Manager-Compliance Operations + Develop and manage a Compliance Department activity reporting system. +… more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... **Qualifications and Skills** + 2-5 years experience working in training operations , project management or training administration in a regulated / financial… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... inquiries by regulators covering various businesses, functions and topics, including operations , finance, regulatory reporting, and sales and trading, and prepare… more
- TD Bank (Melville, NY)
- …to travel 50% of time **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... and Operational concerns + Manages all trade corrections in cooperation with Operations , Compliance and WMLs, + Reviews and approves Outside Business Activities in… more
- PNC (Pittsburgh, PA)
- …internal hackathons. You will play a key role in enhancing the Broker Dealer platform by automating manual processes, implementing regulatory-driven ... * Build new technology capabilities to support Capital Markets Fixed Income operations . * Ensure adherence to SOLID principles, maintain high code quality, and… more
- Wilcox Industries (Newington, NH)
- …is part of the Inside Team consisting of Export Compliance, Customer Support, Dealer Relations, Public Relations, Graphic Designer, & VP of Sales and Marketing. ... of international customer orders. + Performs post-entry audits against customs broker electronic data, vendor and shipper invoices and import documentation. Resolves… more