- Guardian Life (New York, NY)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... technology + Collaborate with various internal departments including compliance, licensing, operations , and our internal clearing firm **You have** + Knowledge of… 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
- Robert Half Office Team (Columbus, OH)
- …are looking for an experienced Operations Associate to support the institutional broker - dealer operations team at a large financial institution in ... on process improvements and contribute to the overall efficiency of operations . Responsibilities: * Review and process institutional client onboarding requests,… 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
- Equitable (Charlotte, NC)
- …Advisors' SEC and FINRA a compliance programs related to its investment advisory and broker / dealer operations . Reporting to the CCO are the Firm's 3120 ... Advisors, the focus of the firm's growth strategy. Equitable Advisors is a broker / dealer and registered investment advisor that serves as the main retail wealth… more
- Principal Financial Group (Lake Oswego, OR)
- …a related field preferred. + 2+ years of related work experience in life insurance/ broker - dealer or RIA operations : client service, account opening, account ... investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM… 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 (Kings Park, NY)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and basic ... and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance… more
- Raymond James Financial, Inc. (Springfield, IL)
- …principles and practices of the securities industry and asset management products. * Broker / dealer operations . **Skill in:** * Identifying the needs of ... * Maintains wholesaling activity logs and or databases to create and maintain broker profile levels and data on current and proposed sales activity. * Works… more
- Robert Half Accountemps (Columbus, OH)
- …to join an Operations team. In this role, you will support broker - dealer operations by managing institutional client onboarding, processing asset ... This is a great opportunity for someone with brokerage or investment operations experience who thrives in a fast-paced, collaborative environment and is looking… more
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