- Truist (Richmond, VA)
- …and managerial functions that are routinely associated with those of a retail broker / dealer . **Essential Duties and Responsibilities** + Manage a team of 4 ... 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
- Citigroup (Tampa, FL)
- …and Technology **Knowledge & Experience:** + 10+ years' experience at a bank/ broker dealer / wealth manager; some appropriate licenses preferred (eg, ... Insurance products + Working knowledge of securities and bank - side regulations ( FINRA , SEC, OCC, FCA, HKMA, SMA) + Demonstrated track record of operating… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg, ... the largest-and growing-banks in the world. About the Team Operations Regulatory Reporting is a newly created team within...team in a dynamic environment + Knowledge of various FINRA , SEC, or CFTC regulations + Experience with various… more
- Citizens (Westwood, MA)
- …planning. Required Qualifications: + 7+ years of experience in wealth management, broker - dealer operations , or financial services + Proven leadership ... Manager, you are responsible for overseeing and managing the operations of the wealth management group. Additionally, you ensure...with trading oversight, QA/QC, and risk management + Active FINRA Series 24 and Series 7 Preferred Qualifications: +… 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 Analyst level… more
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank leasing ... in the financial services industry addressing regulatory issues and optimizing operations . + CAMS certification highly desired. **Work Environment** SMBC's "5… more
- City National Bank (Jersey City, NJ)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more
- MUFG (New York, NY)
- …markets business management in large financial institutions (experience at both commercial bank and broker dealer will be preferred) + Ability to work with large ... of business projects and business strategies to improve Global Markets operations including inputs and contribution to global-wide projects. + Support FX&LM… more
- Citigroup (Getzville, NY)
- …functions for ad-hoc analysis, such as filtering, sorting, pivoting, lookups, etc. + Broker / Dealer books and records fluency, such as stock record **Education:** ... Markets businesses (Prime Client Execs & Prime Finance traders), Markets Operations (NY/NJ), Financial Controllers (NY), Technology, Prime Legal, Compliance (NY/NJ),… more
- Lincoln Financial (Hartford, CT)
- …performance feedback _Nice-to-have experience (Preferred)_ : + Retirement plan knowledge and operations experience + FINRA Series 6 license + Project management ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more