- Robert Half Office Team (Columbus, OH)
- Description We are looking for an experienced Operations Associate to support the institutional broker - dealer operations team at a large financial ... will oversee client onboarding, asset movement, account maintenance, and ensure compliance with organizational policies. This position offers the opportunity to… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more
- JPMorgan Chase (New York, NY)
- …in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and ... and liquidity solutions, data, analytics and low latency trading capabilities to institutional , hedge fund and systematic trading firms. The team partners with… more
- Wellington (Chicago, IL)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on...legal team that collaborates closely with our business and Compliance colleagues to advance key initiatives of the firm.… more
- Wells Fargo (St. Louis, MO)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... responsible for direct support of branches and their responsibilities for remote compliance supervision of Private Client Group (PCG) and Wealth Brokerage Services,… more
- TD Bank (New York, NY)
- …and experience in AML compliance , preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent verbal and ... financial crime risk. This involves providing guidance on regulatory compliance , close partnership with business and legal, and operationalizing requirements… more
- Wells Fargo (San Francisco, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... trading, and research capabilities to corporate, commercial real estate, government, and institutional clients across the globe. **About this role:** Wells Fargo is… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more