- Robert Half Finance & Accounting (Parsippany, NJ)
- Description National broker / dealer , wealth management company with operations in NYC/Parsippany seeks a Technical Accounting Manager . This role will get ... passed, some public accounting would be very helpful. Requirements National broker / dealer , wealth management company with operations in NYC/Parsippany seeks… more
- City National Bank (Charlotte, NC)
- …and Bank Secrecy Act/Office of Foreign Assets Control regulations * Prior broker / dealer experience preferred * Experience using Microsoft Word, Excel and ... *FINANCIAL CRIMES ANALYST SENIOR I* WHAT IS THE OPPORTUNITY? Under the...THE OPPORTUNITY? Under the direction of the BSA Risk Manager , this colleague is responsible for carrying out regulatory/compliance… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... additional duties as may be assigned by the Program Manager . + Develop and maintain long-term relationships based on...Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track… more
- PNC (Birmingham, AL)
- …as our incentives paid to sales staff make up the largest expense for the broker - dealer . - Interact with members of the business segment executive team as well ... an opportunity to contribute to the company's success. As a Finance Specialist Senior within PNC's Retail Banking Finance organization, you will be based in… more
- Arena Investors LP (Jacksonville, FL)
- …with the Investment Advisers Act of 1940; . Support the CCO with FINRA broker - dealer requirements; . Monitoring of Client guidelines and restrictions; . Review ... policies and procedures; . Administration of firm (Investment Adviser and Broker - Dealer ) annual compliance review (testing and monitoring); . Conflicts… more
- Charles Schwab (Westlake, TX)
- …detailed knowledge of finance and knowledge of liquidity risk management at a broker dealer . * Regulatory financial reporting, and experience in treasury ... 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 (Westlake, TX)
- …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- City National Bank (Jersey City, NJ)
- …AUDIT MANAGER - WEALTH MANAGEMENT* WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of Wealth ... Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets,… more
- Neuberger Berman (New York, NY)
- …+ Collaborate with the team's Research Director to organize and manage existing broker - dealer manager research relationships by providing efficient and ... The broker - dealer channel is responsible for the...schedule of in-person and external client meetings while preparing senior internal constituents for upcoming client meetings + Coordinate… more
- TD Bank (Lake Mary, FL)
- …This role ensures all requirements are met for the successful settlement of foreign broker dealer transactions. Responsibilities Include + Work with a team of ... operations employees to facilitate the daily settlement of foreign broker dealer transactions while mitigating risk. +...project status and provide timely escalation of issues to senior management to ensure project objectives are met +… more