- Capital One (Mclean, VA)
- …seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority ... Manager, Broker Dealer Accounting Does the idea...Oversee monthly closes process + Prepare internal & external financial statements and variance analysis + Prepare regulatory filings… more
- Vanguard (Charlotte, NC)
- …to closure. + Maintains deep knowledge of the investment and financial services industry, with a focus on broker - dealer operations and banking-like ... 5 years of compliance experience in financial services , with at least 2 years in broker - dealer or banking-like operations. + Proven experience with… more
- SMBC (Jersey City, NJ)
- …5 years of specialized experience in Financial Services , 2 + years Financial Reporting ( broker dealer experience is a strong plus) + Education: BA/BS ... be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer , which provides intvestment securities and other financial services to… more
- Kestra Financial (Beaver, PA)
- … services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Kestra Financial (West Hartford, CT)
- … services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... of the industry - financial planning software, analytical tools and broker / dealer or custodian systems Requirements Education and/or Experience + Bachelor's… more
- Marex (New York, NY)
- …of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity,...in line with below responsibilities: + Provide Compliance Advisory services to broker - dealer business lines.… more
- Kestra Financial (West Hartford, CT)
- … financial services industry with a strong understanding of broker / dealer operations and financial services products, including but not limited ... duties as assigned Knowledge, Skills, and/or Abilities + Strong understanding of the financial services industry and diverse investment products + Basic computer… more
- Kestra Financial (Sewickley, PA)
- … services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... of the industry - financial planning software, analytical tools and broker / dealer or custodian systems Education and/or Experience + Bachelor's degree in… more
- Kestra Financial (Fort Worth, TX)
- … services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... servicing. This position requires a strong understanding of the financial services industry and products, and is...large book of business including managing client needs regarding service , asset allocation, case design and financial … more
- Charles Schwab (Westlake, TX)
- …strategic initiatives. **What you have** + 5-7+ years of financial services -related audit experience with growing responsibility. Broker Dealer /Asset ... businesses. + CPA, CIA, CFE, or CISA strongly preferred. Other applicable financial services and/or risk management certifications considered. + Clear… more
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