- Wells Fargo (St. Louis, MO)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... Specialist to join our Financial Network (FiNet) within the Branch Infrastructure and Operations group as part of Wealth & Investment Management. Learn more about… more
- JPMorgan Chase (Boca Raton, FL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... role acts as a bridge between business development, sales, product, and operations teams, driving project delivery and supporting field adoption to achieve growth… 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
- Wells Fargo (Roseville, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... Work in partnership with the Market Leadership Management Team as well as Operations , Risk, Compliance, and Sales Teams to ensure firm and regulatory requirements… more
- The Hartford (Wayne, PA)
- …Group, Inc. and its subsidiaries, which include two registered investment advisers, a broker - dealer , and a transfer agent. Hartford Funds is the sponsor of ... in particular. + Technical expertise in the regulatory framework governing the Funds' operations and the firm's business lines. + The business acumen and effective… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... Other responsibilities as assigned by the Wealth Advisor and Director of Operations . Knowledge, Skills, and/or Abilities: + Advanced computer skills (Outlook, Word,… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... of President Mark Williams, BI is making significant investments in talent, operations , sales and marketing capabilities, and digital platforms in order to… more
- Wells Fargo (Norfolk, VA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... the Brokerage Support team, and Client Associates in various aspects of operations , compliance, and technology + Collaborate with the Brokerage Support Manager and… more
- Charles Schwab (Westlake, TX)
- …**Education & Experience:** Bachelor's degree in Finance/Economics; 5+ years in settlement operations (including derivatives) within broker / dealer or banking ... environments. + **Technical Expertise** : Strong knowledge of custody/clearing best practices, collateral management (eligibility, margin, substitution), and asset-backed securities processing. Familiarity with derivatives (eg, interest rate swaps) and related… more
- NatWest Markets (Stamford, CT)
- …Manager role + Experience in financial markets or investment banking is required; Broker - Dealer experience is a strong plus + Demonstrated experience in ... Other duties not listed here may be assigned as necessary to ensure the proper operations of the department and the business._ As an Audit Manager, you'll serve as a… more