- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... Job Title: Wealth Project Manager Business Unit: Brokers International Financial Services Location:...Mark Williams, BI is making significant investments in talent, operations , sales and marketing capabilities, and digital platforms in… more
- Foresters Financial Services (Cleveland, OH)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... The Business Development Manager - Team Lead leads a team of...results. + Partner with senior leaders, product, sales, and operations teams to coordinate implementation efforts and resolve escalated… more
- TD Bank (White Plains, NY)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and operational… more
- Charles Schwab (Lone Tree, CO)
- …Support the transformation of reporting into a strategic tool for optimizing bank and broker dealer functions. **What you have** + 5+ years relevant experience ... Management, Liquidity Management, Asset & Liability Management, Securities Lending, Operations , Fixed income investing and other Balance Sheet Modeling activities.… more
- Robert Half Finance & Accounting (Chicago, IL)
- …resume to ###@roberthalf.c0m Responsibilities: + Owning daily and month-end close process for broker - dealer operations of DV Group which include posting ... journal entries, and reconciling balance sheet accounts. + Prepare FOCUS reports, regulatory filings, and calculation of regulatory net capital requirement. + Assist with regulatory audits and annual audits. + Collaborate closely with our team, auditors, and… more
- TD Bank (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... Maintain sub-ledger to general ledger mapping logic; liaise with Product Control and Operations for testing and application. + Manage chart of accounts and mapping.… more
- 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
- 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 Director...five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or… more