- Mizuho Corporate Bank (New York, NY)
- …assurance and consulting function, designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap ... dealer businesses. Based in the New York Metro area, IADA staff members perform various audits of different business areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong… 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
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... and guidance regarding the proprietary funds, including advice regarding fund operations and fund board matters. Familiarity with the Investment Company Act… more
- Robert Half Finance & Accounting (Houston, TX)
- …A minimum of 5 years of experience in a compliance role at a securities broker - dealer or investment adviser. COST TO ENTER THE GAME + Bachelor's degree in ... for a proactive individual with a deep understanding of the regulatory landscape for broker -dealers and investment advisers. HOW YOU WILL MAKE AN IMPACT + Policy and… more
- Thrivent Financial (Spokane, WA)
- …product pricing, and contacting carriers for information + Interfacing with the broker - dealer or custodian to obtain information, account data, and convey ... and new clients/members + Managing office services by ensuring office operations and procedures are organized, effective, and efficient. Creating and implementing… more
- Citigroup (New York, NY)
- …+ Knowledge of and experience covering the financial intermediary (bank, broker - dealer , clearinghouse, etc.) client base, preferably within an Investor ... and aggressive growth of complex client relationships, particularly with banks, broker -dealers, and other financial intermediaries + Deeply understand and articulate… more
- Broadridge Financial Solutions (Newark, NJ)
- … operations at a buyside or sell side institution, E-Commerce ECN or Inter Dealer Broker preferred. + Detail oriented, results driven, and possesses a strong ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… 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
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer, will be a ... 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
- City National Bank (Los Angeles, CA)
- …and regulatory counsel to the Bank and its registered investment adviser, broker - dealer , and registered investment fund subsidiaries and affiliates with respect ... and transactional support to the Bank and its wealth management operations and subsidiaries. Substantial expertise in advising registered investment advisers and… more