- Equitable (Charlotte, NC)
- …team. This role is critical in ensuring the effective oversight of outsourced broker - dealer operations , maintaining compliance with regulatory standards, and ... candidate will have a strong background in financial services, particularly within broker - dealer operations , and possess advanced analytical capabilities.… more
- SMBC (New York, NY)
- … dealer . + A solid foundation in US securities laws and regulations and broker dealer operations , products and services. + Ability to communicate this ... and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented...and applicability to SMBC Nikko Securities Inc. and affiliate operations . + Ability to manage multiple assignments and build… more
- Capital One (New York, NY)
- …trading environment. **Responsibilities** **Program Oversight & Governance** + Lead daily surveillance operations for both Broker - Dealer and Swap Dealer ... Trade Surveillance Manager ( Broker - Dealer & Swap Dealer )... (SD) businesses. This individual will oversee day-to-day surveillance operations , maintain robust controls around the monitoring of trading… more
- Robert Half Management Resources (Dallas, TX)
- …and effective risk management. The successful candidate will bring extensive knowledge of broker - dealer operations and regulations, along with the ability to ... Requirements * 10-15 years of experience in internal audit, compliance, or broker - dealer operations . * Extensive knowledge of FINRA and SEC regulations,… more
- M&T Bank (Boston, MA)
- …of 5 years of relevant work experience, such as in compliance, trading or broker - dealer operations + Strong analytical and problem-solving skills, as well ... **Overview:** M&T Securities, Inc. is the institutional broker - dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role… more
- Kestra Financial (Sewickley, PA)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... and pricing + Understand and leverage the resources available at the Broker Dealer to the fullest extent + Commitment to culture requires a demonstration… more
- Bank of America (Dallas, TX)
- …on volumes. **Required Skills:** + Minimum two years of experience working in broker dealer operations with knowledge of common operational issues, ... Managed Account Trading Operations Analyst Dallas, Texas;Addison, Texas **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer… more
- Vanguard (Charlotte, NC)
- …of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments ... of compliance experience in financial services, with at least 2 years in broker - dealer or banking-like operations . + Proven experience in Regulation E,… more
- Kestra Financial (Raleigh, NC)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Kestra Financial (Hamilton, NJ)
- …experience in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but ... products, and pricing * Understand and leverage the resources available at the Broker Dealer to the fullest extent * Develop Centers of Influences such as… more
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