- Santander US (Miami, FL)
- …in all regulatory aspects governing the ETD's and Clearing activities in a US Broker Dealer . + Proven track record of managing providers of outsourced services ... I-Banking Pre & Post Trade Exchange Traded Derivatives & Clearing Operations , Vice President Country: United States of America **Your Journey Starts Here:**… more
- TD Bank (Mount Laurel, NJ)
- …work in an unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... a critical executive role responsible for management of Administration, FINRA required FINOP responsibilities, Marketing Principal duties, Strategy, middle-office… more
- TD Bank (Boston, MA)
- …work in an unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements ... acumen, comfortable with IT systems that support wealth management operations + Prior engagement with regulators (eg, FINRA... operations + Prior engagement with regulators (eg, FINRA , SEC, OCC) + Exceptional problem solving and analytical… more
- TD Bank (Manchester, NH)
- …change + Ability 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 ... achieve our strategic objectives for the Market(s). **Depth & Scope:** + FINRA designated Supervisor (via Delegation from WML) for Registered/Associated Persons in… more
- GE Vernova (New York, NY)
- …for regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority ( FINRA ) member firm, ... markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance: Coordinate and execute compliance obligations… more
- Robert Half Finance & Accounting (Chicago, IL)
- …while emphasizing the importance of a work-life balance. Position Purpose: The Broker - Dealer Regulatory Reporter is responsible for compiling, analyzing, and ... accurate regulatory reports to relevant agencies, including the SEC, FINRA and CME, ensuring the brokerage firm adheres to...Required: + 3-5 years of accounting experience, ideally in broker - dealer regulatory reporting + Deep understanding of… 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
- NatWest Markets (Stamford, CT)
- …and reconciliation processing. + Familiarity with US regulatory requirements specific to Broker Dealer Operations . + Solid understanding of general ... Operations Supervisor - Investment Banking Closing date for...adjustments and reconciliation packages. **Requirements:** + Undergraduate Degree required; FINRA Series 99 and/or 7 preferred. + Minimum 3+… more
- Principal Financial Group (Lincoln, NE)
- …a related field preferred. + 2+ years of related work experience in life insurance/ broker - dealer or RIA operations : client service, account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level… more