- Charles Schwab (Westlake, TX)
- …and work with Funding desk to optimize the execution of term borrowings across the Broker -dealer and Parent entities to support the metric + Work closely with ... planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the… more
- Santander US (Miami, FL)
- …controls related to the Swap Dealer (eg Dodd Frank/EMIR/MiFid) and coverage for Broker Dealer controls in coordination with the controls Team. Act as back up ... for Broker /Dealer controls where needed. This includes ensuring high service...teams on continuous improvement, automation, and transformation efforts. * Support onboarding of new processes or products into Operations… more
- Athene (West Des Moines, IA)
- …for leading and developing a team of Internal Wholesalers within the Broker Dealer distribution channel. This role oversees daily sales activities, drives business ... the department. + Is a key partner with the Divisional Vice President, Broker Dealer Channel in ensuring internal and external wholesaler partnerships are working… more
- Vanguard (Malvern, PA)
- …and dynamic team that performs Treasury Functions consisting of moving and reconciling broker dealer cash activity. The VMC Treasury Liaison will perform the newly ... is a Vanguard legal entity which is a registered broker -dealer and provides brokerage services as a self-clearing ...mission-driven and highly collaborative culture is a critical enabler to support long-term client outcomes and enrich the employee… more
- TD Bank (Boston, MA)
- …of TD Private Client Wealth, LLC. TD Bank's Registered Investment Advisor and Broker Dealer. **Depth & Scope:** + Provides people management leadership by hiring the ... and oversight of all regulated activities (SEC, FINRA) + President of US Broker -Dealer (Series 24) overseeing the securities business activities of all RIA and BD… more
- Panasonic North America (De Soto, KS)
- …classification, valuation, and country of origin issues for imported commodities. + Support of foreign trade zone issues. + Ensure compliance with other government ... Schedule B, and party screening. + Increase knowledge of Panasonic product lines to support the compliance function. + Support to PNA Finance as required for… more
- AIG (Los Angeles, CA)
- …expertise necessary to deliver customized, compliant and seamless solutions that support our clients' risk management objectives. With in-depth knowledge of local ... wherever in the world their businesses take them. Role Summary External broker and client facing role providing the day-to-day servicing and multinational technical… more
- Wells Fargo (Lincoln, NE)
- **About this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career ... this role, you will:** + Lead or participate in support functions for multiple business groups and contribute to...are not eligible to be associated with a FINRA-registered broker -dealer. Successful candidates must also meet and comply with… more
- Wells Fargo (Roanoke, VA)
- **About this role:** Wells Fargo is seeking a Branch Support Manager in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career ... service and technology inquiries from Financial Advisors, the branches, and other Support Center associates + Act as a liaison between Market Leaders, Branch/Area… more
- TD Bank (Greenville, SC)
- …this role. **Line of Business:** TD Wealth **Job Description:** The Financial Advisor Support Specialist acts as a point of client contact accountable to serve the ... The role serves as the primary administrative and service support for the Financial Advisors (FAs) and their clients....Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more