- TD Bank (Greenville, SC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... electronic communications. This role works closely with the supervision, operations , compliance, and risk departments of the US Wealth...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Robert Half Finance & Accounting (Dallas, TX)
- …firm. * Responsible for the monthly net capital computation of the related Broker / Dealer , and the quarterly preparation of information needed for FINRA filings. ... for an experienced Controller to oversee and optimize accounting operations for our organization in Dallas, Texas. The ideal...* Coordinate annual audit preparation with the related Broker / Dealer 's independent auditor. * Develop and maintain… more
- TD Bank (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Principal ... works closely with the Market Supervision Managers and the operations , compliance, and risk departments of the US Wealth...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Citigroup (New York, NY)
- …and across the globe Knowledge & Experience: + 5 years' experience at a bank/ broker dealer + Working knowledge of brokerage products, structured products, and ... The Product Manager will be responsible for supporting the Americas...communicate to all levels of management + Familiarity with bank/ broker dealer trading platforms + Strong organizational… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …assigned. **Qualifications - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and ... necessary to analyze investment structures, offering terms, trading and operations , along with legal and compliance programs. The Senior...five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or… more
- OTC Markets Group Inc (Washington, DC)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... into detailed Business Requirement Documents, interfacing with the technical project manager , providing UAT, and assisting in the production rollout. The team… more
- Raymond James Financial, Inc. (Denver, CO)
- …and any other applicable fraud-related regulatory or industry rules and guidance. + Broker - dealer operations , transaction methods & financial products, and ... the fraud surveillance function. This position reports to the Fraud Monitoring Manager and is responsible for: (1) conducting complex alert triage, case… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... inquiries by regulators covering various businesses, functions and topics, including operations , finance, regulatory reporting, and sales and trading, and prepare… more
- TD Bank (New York, NY)
- …communications, platform management skills **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... collecting and tracking data, and researching information, etc. to ensure effective operations of the business supported + Assesses risks and recommends changes to… more
- Manulife (New York, NY)
- …of 5-7 years of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly ... In this role of Director, you will work closely with Compliance, Operations , Finance and Investor Relations to help ensure complete AML/KYC is conducted… more