• Broker -Dealer Accounting Group Manager Sr

    Huntington National Bank (Chicago, IL)
    …Business Segment Controller, this position will play a vital role in the broker -dealer's day-to-day accounting operations . The role will be responsible for ... preparing journal entries, reconciling GL accounts, summarizing and analyzing daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison to both internal and external audits. This position will also… more
    Huntington National Bank (07/04/25)
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  • Manager - Collateral Management

    Charles Schwab (Westlake, TX)
    …and collateral requirements + Extensive experience and knowledge required in broker /dealer operations + Experienced with treasury functions including debt ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
    Charles Schwab (06/18/25)
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  • RNDIP Compliance and Oversight Consultant

    SolomonEdwards (Albany, NY)
    …Consultant to join a leading national financial services organization with significant broker /dealer operations . This hands-on role will lead the design and ... apply guidelines in practice. * Experience in: o First line operations (1LOD) for broker /dealer or non-deposit investment products (ideal), and/or o Second line… more
    SolomonEdwards (07/30/25)
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  • Paraplanner/Analyst/Support Advisor

    Kestra Financial (West Hartford, CT)
    …in the financial services industry allowing for a strong understanding of broker /dealer operations and financial services products, including but not limited ... services, products, and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Develop Centers of Influences such as… more
    Kestra Financial (07/25/25)
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  • Compliance Officer

    M&T Bank (Boston, MA)
    …of 5 years of relevant work experience, such as in compliance, trading or broker -dealer operations + Strong analytical and problem-solving skills, as well as ... **Overview:** M&T Securities, Inc. is the institutional broker -dealer affiliate of M&T Bank. As a member...FINRA, SEC, and other SRO rules as applicable to broker -dealer activities. + Assist in review of controls in… more
    M&T Bank (07/23/25)
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  • Trade Compliance Analyst (Remote)

    Construction Specialties, Inc. (Lebanon, NJ)
    …Canadian/Mexican/United States item classifications. Primary point of contact for Customs broker daily operations . Handles record keeping, operational control, ... studying and passing the test to get a Customs Broker License someday. + Works with Trade Compliance Analyst...Assists Coordinator team in resolving transactional issues with Customs Broker or freight forwarder. + Operates in compliance with… more
    Construction Specialties, Inc. (07/15/25)
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  • Director, Internal Life, LTC & DI Distribution

    Raymond James Financial, Inc. (St. Petersburg, FL)
    …* Advanced concepts, principles and practices of assigned functional area. * Broker /dealer operations . **Skill in:** * Identifying the needs of customers ... or national level. Serves as the Home Office sales contact for broker /dealers, Financial Advisors or executives desiring to learn about the department's services… more
    Raymond James Financial, Inc. (07/09/25)
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  • Paraplanner/Support Advisor

    Kestra Financial (Sewickley, PA)
    …in the financial services industry allowing for a strong understanding of broker /dealer operations and financial services products, including but not limited ... products and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a demonstration… more
    Kestra Financial (05/18/25)
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  • Client Service Associate

    Kestra Financial (Raleigh, NC)
    …in the financial services industry allowing for a good understanding of broker /dealer operations and financial services products, including but not limited ... in the back-office functioning of our firm. With responsibility for the day-to-day operations of the firm, the Client Service Associate helps keep the office running… more
    Kestra Financial (06/09/25)
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  • Account Manager - Global Specialty- Property…

    The Hartford (Alpharetta, GA)
    …+ Prepares submissions for rating and acts as the gatekeeper between the Broker , Underwriter and the Operations Service Center Underwriting Support + Performs ... Thursday). The Account Manager, as part of Global Specialty Operations , will serve as a critical partner to the...based vendors. (Genius knowledge a plus but not required) Broker Management & Client Relations + Serve as a… more
    The Hartford (07/02/25)
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