- Marex (New York, NY)
- …as a subject matter expert ("SME") on products, regulatory reporting, and broker -dealer operations by maintaining proficient knowledge of applicable functions. + ... Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed… more
- SMBC (New York, NY)
- … dealer. + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this knowledge ... and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- Guardian Life (Holmdel, NJ)
- The Operations Specialist will serve as the expert on all aspects of our managed account model management, trading platform, annuity operations as well as all ... Multiple Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies,… more
- BMO Financial Group (New York, NY)
- … dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have dealt with ... trading intricacies and have showcased a comprehensive grasp of the industry, this might be the perfect opportunity for you. Develops or maintains an effective financial governance and controls framework that defines the ways and methods governance is… more
- Bank of America (Charlotte, NC)
- …other MS Office products. **Desired Qualifications** : + Understanding of US Broker Dealer business, operations , and/or regulatory environment. + Knowledge of ... Broker -Dealer Customer Protection Program Lead Charlotte, North Carolina...(CACG) Americas (AMRS) region. CACG is a Global Markets Operations team which provides front-to-back oversight of customer protection… more
- Amazon (Bellevue, WA)
- …AWS Infrastructure is looking for a talented, driven, and highly analytical, Broker Operations Manager with demonstrated experience driving process improvement. ... This Manager will be responsible for on-going broker operations management and strategic development of the next generation of customs operations and… more
- Huntington National Bank (Columbus, OH)
- …degree + 5 or more years municipal underwriting operations , fixed income operations , or similar broker dealer operations experience + High School ... 9 years of experience/education in municipal underwriting operations , fixed income operations , or similar broker dealer operations experience Preferred… more
- Marex (New York, NY)
- …+ Serve as a subject matter expert on products, regulatory reporting, and broker -dealer operations by maintaining proficient knowledge of applicable functions. + ... Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US Broker … more
- USAA (San Antonio, TX)
- …Subject-matter-expert level of business acumen in the areas of annuity business operations , broker dealer sales processes and paperwork, sales suitability, ... + 3 or more years of experience in annuity operations support and service, preferably within a broker... operations support and service, preferably within a broker -dealer or insurance company utilizing third-party annuities distribution. +… more
- Raymond James Financial, Inc. (New York, NY)
- …a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable regulations ... the operation of compliance functions for Regulatory Reporting and RJA Operations departments. Manages associates and division of responsibilities within the… more
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