- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational...Qualifications: + Bachelor's degree + 3-5 years of brokerage operations or FINRA comparable experience + Must… more
- BMO Financial Group (New York, NY)
- …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance...+ Experience with a regulatory agency strongly preferred, including FINRA , SEC, NYSE + Knowledge of FICC, equities, prime… more
- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (… more
- Vanguard (Charlotte, NC)
- …of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments ... expertise in Regulation E, Regulation CC, NACHA rules, and FINRA oversight. You will design and execute compliance testing...in financial services, with at least 2 years in broker - dealer or banking-like operations . +… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Wealth Management and Products Solutions clients, including Advisors, Sales Management, Operations , Risk, and Controls, as needed. You will work closely with… more
- Marex (New York, NY)
- …+ Serve as a subject matter expert on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… more
- Atria Wealth Solutions (Vancouver, WA)
- …the insurance and securities industry. + Maintain continuing education and legal requirements of FINRA , State Insurance, broker dealer and Columbia CU. + ... NCUA and Investments and Insurance Group's non-NCUA marketing and operations in assigned branches. REQUIREMENTS + Minimum 5-7 years...Union and registered through CUSO Financial Services, LP, (Member FINRA /SIPC). CFS is a broker - dealer … more
- Atria Wealth Solutions (Dublin, CA)
- …To learn more about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA /SIPC) is a registered broker - dealer and SEC Registered Investment ... measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each...and regulatory requirements. + Ensure that the goals and operations of the Patelco Financial Solutions aligns with the… more
- Vanguard (Malvern, PA)
- …supporting client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA , OCC) and overseeing ... Overview The Head of Brokerage Trade Operations is responsible for leading Margin, Securities Lending,...Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness,… more