- 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
- Atria Wealth Solutions (King, NC)
- …by OSJ and follow the rules and regulations set forth by the credit union, FINRA , SEC and the broker / dealer . + Accountable for meeting annual business ... have the following abilities: to read, to perform arithmetic operations quickly and accurately; to see details and recognize...and registered through CUSO Financial Services, LP (CFS). Member FINRA /SIPC. CFS is a broker / dealer … more
- MUFG (New York, NY)
- …or a related field. + 8+ years of progressive experience within a broker - dealer back-office or equivalent financial operations role. + Extensive ... flows, securities processing, vendor management, and settlement processes within the broker - dealer environment. The ideal candidate will possess a comprehensive… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- TD Bank (Marlton, NJ)
- …to obtain additional licensing, as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... Wealth **Job Description:** The Principal Review Analyst is a FINRA and SEC regulatory supervisory principal position with the...a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services… more
- TD Bank (Greenville, SC)
- …to obtain additional licensing, as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal position with the...a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services… more
- TD Bank (Portland, ME)
- …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...competing priorities.** + **Proficiency with Microsoft Office applications.** + ** FINRA license Series 7, 63 &24** + **Life and… more
- PNC (Pittsburgh, PA)
- …sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad… more
- SMBC (Jersey City, NJ)
- …Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail banking operations ; US and LATAM representative ... various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how...either US banking regulations (FRB, FDIC, CFPB) or securities/swap dealer regulations (SEC, CFTC, FINRA , NFA) and… more