- Principal Financial Group (Addison, TX)
- …new client accounts, managing account openings and asset movement requests with broker- dealer , and serving as a point of contact between financial professionals, ... Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM...**Who You Are** + Bachelor's degree or equivalent in finance , business administration, or a related field preferred. +… more
- MUFG (New York, NY)
- …Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and milestones, ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing) +… more
- Charles Schwab (Westlake, TX)
- …+ Experience in finance and accounting, particularly in the bank and broker/ dealer space. + Knowledge of or willingness to learn new technical skills eg, ... problem solving, helping us "challenge the status quo" and transform the finance industry together. We believe in the importance of in-office collaboration and… more
- SMBC (Charlotte, NC)
- …of financial services, including banking, leasing, securities, credit cards, and consumer finance . The Group has more than 130 offices and 80,000 employees worldwide ... Inc., SMBC MANUBANK, JRI America, Inc., SMBC Leasing and Finance , Inc., Banco Sumitomo Mitsui Brasileiro SA, and Sumitomo...and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest… more
- MUFG (New York, NY)
- …seek a skilled QA Engineer Analyst to join our team at a leading broker dealer in the capital markets. This role focuses on ensuring the quality and reliability of ... the trade data warehouse. - Collaborate with cross-functional teams including regulatory, finance , risk, and operations to ensure reporting requirements are met. -… more
- DriveTime (Mesa, AZ)
- **What's Under the Hood** GoFi is an AI-centric, licensed auto finance company built for a digital-first world. Built upon an entirely cloud-based infrastructure, ... the best customer experience. GoFi powers solutions ranging from traditional turn-down finance arrangements to fully integrated co-branded finance and digital… more
- Charles Schwab (Lone Tree, CO)
- …creative problem solving, helping us "challenge the status quo" and transform the finance industry together. The Balance Sheet Strategy, FTP, Hedging, and BDA team ... an off-balance sheet sweep deposit portfolio, and a broker dealer . The Senior Manager will develop strategy and analysis...**Required:** . 5+ years of career experience in treasury, finance , corporate strategy and/or ALM roles of progressive level… more
- Robert Half Finance & Accounting (Chicago, IL)
- …emphasizing the importance of a work-life balance. Position Purpose: The Broker- Dealer Regulatory Reporter is responsible for compiling, analyzing, and submitting ... Required: + 3-5 years of accounting experience, ideally in broker- dealer regulatory reporting + Deep understanding of securities markets,...27 a plus + Bacehlor's Degree in Accounting or Finance required + FINRA Series 99, required to complete… more
- Capital One (Mclean, VA)
- …monitoring of life cycle events and reporting in compliance with Swap Dealer regulations. An ideal candidate for the Derivatives Operations will possess financial ... record retention controls to ensure team adheres to Swap Dealer regulations + Liaison with counterparties to perform portfolio...experience + At least 2 years of experience in Finance OR Capital Markets OR a combination Preferred Qualifications:… more
- Charles Schwab (Lone Tree, CO)
- …. Basic knowledge of finance and accounting, particularly in the bank and broker- dealer space; . Advanced skills in Excel; . Knowledge of Python or other program ... to optimize the execution of term borrowings across the Broker- dealer and Parent entities to support the metric ....you need to make a positive difference in the finance industry. Our Hybrid Work and Flexibility approach balances… more