- NatWest Markets (Stamford, CT)
- …regulations and best practice first line procedures and processes for a US broker - dealer . + In-depth knowledge of pre-trade client onboarding processes related ... may be assigned as necessary to ensure the proper operations of the department and the business_ **US Client...Written Supervisory Procedures for covered functions as defined in FINRA Rule 3110. + Proactively establish and monitor adequate… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …and complexity with significant scope and impact focused on the firm's broker - dealer and investment advisory activities. Assesses risk within assigned internal ... Services, especially those associated with the registered investment advisory and broker - dealer divisions * Knowledge and understanding of industry regulations,… more
- Citigroup (Miami, FL)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... Provides advice and counsel related to the technology or operations of the business. Work impacts an entire area,...Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy… 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 ... advisors are credentialed to provide investment advisory services. Visit Thrivent.com or FINRA 's Broker Check for more information about our financial advisors.… more
- HUB International (New York, NY)
- …Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer, ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA ) and Swap Dealer (CFTC ... solutions based on your comprehensive understanding of our client, capital markets operations , and sound risk management practices. + Work closely with our product… more
- Navy Federal Credit Union (Winchester, VA)
- …of federal, state, local and industry regulation affecting financial institutions to include Broker / Dealer + Upon selection for this position, will be expected ... Overview To supervise daily operations of NFFG registered and non-registered staff at Navy Federal,...to obtain FINRA Series 7 and 24 (and NASAA Series 63 and 65… 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 ... events. + PowerBI skills are a plus + Current FINRA Series 7 and Series 63 license or ability...delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At… more
- Raymond James Financial, Inc. (Southfield, MI)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations . **Skill in:** * Identifying the needs of ... activity logs and or databases to create and maintain broker profile levels and data on current and proposed...that an exemption or grandfathering cannot be applied. * FINRA Series 7 and the ability to obtain other… more
- Truist (Richmond, VA)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... may be made to enable individuals with disabilities to perform the essential functions. + FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu… more