- Dunham & Associates Investment Counsel, Inc. (San Diego, CA)
- …Experience Required: + Ten plus years of experience in similar role at broker dealer , investment advisory firm, trust company or similar financial institution; ... Counsel, Inc., a subsidiary of Dunham, is an independently owned, registered Broker / Dealer and Investment Adviser helping Financial Advisors and individual… more
- Santander US (Boston, MA)
- …understanding of applicable Federal and State laws applicable to SEC registered broker - dealer . * Strong analytical and investigative skills and demonstrated ... is to identify, evaluate, and document trades for suitability in accordance with FINRA rules and industry regulations. Will reviews new accounts, trade activity and… 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 ... account activity and execution in accordance with NFFG process and procedures and FINRA , NASAA, SEC regulations + Conduct review of accounts to communicate account… more
- KeyBank (Brooklyn, OH)
- …and regulations across Key's Asset Management activities (ie - wealth management and trust, broker - dealer , and swap dealer ) and lines of business, products, ... requirements. The Director must have comprehensive knowledge of wealth management, fiduciary/trust, broker - dealer , and investment management as well as a strong… more
- MUFG (New York, NY)
- …related field + 2+ years of experience in a similar business analyst or market operations role, preferably within a broker - dealer or financial institution + ... for the FR2004 reporting, will support the Fed's FOMC Operations , and will support the Fixed Income primary and...documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system… more
- Truist (Richmond, VA)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... that are routinely associated with those of a retail broker / dealer . **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is...individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53, and 66 licenses (Series… more
- City National Bank (Jersey City, NJ)
- …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
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but...Inspections both remotely and in person in accordance with FINRA RULE 3110 + Lead branch inspections and execute… more
- MUFG (New York, NY)
- …including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + **Product Knowledge:** Expertise with a broad range ... the financial services industry, preferably in a relevant role within a Broker / Dealer or similar organization. + Demonstrated ability to effectively manage… more
- Robert Half Finance & Accounting (Dallas, TX)
- …CPA firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA ... filings. * Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain internal controls consistent with the… more