- Marex (New York, NY)
- …Serve as a subject matter expert ("SME") on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… 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
- BMO Financial Group (New York, NY)
- … dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. If you have ... dealt with trading intricacies and have showcased a comprehensive grasp of the industry, this might be the perfect opportunity for you. Develops or maintains an effective financial governance and controls framework that defines the ways and methods governance… more
- Guardian Life (Holmdel, NJ)
- The Operations Specialist will serve as the expert on all aspects of our managed account model management, trading platform, annuity operations as well as all ... Multiple Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies,… more
- Bank of America (Charlotte, NC)
- …and other MS Office products. **Desired Qualifications** : + Understanding of US Broker Dealer business, operations , and/or regulatory environment. + ... Broker - Dealer Customer Protection Program Lead Charlotte,...(CACG) Americas (AMRS) region. CACG is a Global Markets Operations team which provides front-to-back oversight of customer protection… more
- Huntington National Bank (Chicago, IL)
- …the Business Segment Controller, this position will play a vital role in the broker - dealer 's day-to-day accounting operations . The role will be responsible ... for preparing journal entries, reconciling GL accounts, summarizing and analyzing daily trade activity, assisting in the preparation of various financial and regulatory reports and serve as a liaison to both internal and external audits. This position will… more
- Marex (New York, NY)
- …+ Serve as a subject matter expert on products, regulatory reporting, and broker - dealer operations by maintaining proficient knowledge of applicable ... below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or...achieved. + Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… more
- Huntington National Bank (Columbus, OH)
- …more years municipal underwriting operations , fixed income operations , or similar broker dealer operations experience + High School diploma with 9 ... underwriting operations , fixed income operations , or similar broker dealer operations experience Preferred Qualifications: + FINRA Series 52 or… more
- Charles Schwab (Westlake, TX)
- …liquidity and collateral requirements + Extensive experience and knowledge required in broker / dealer operations + Experienced with treasury functions ... and cash requirement methodologies, research, forecasting and modeling + Understanding of broker dealer segregation routines + Optimize collateral selections for… more
- NatWest Markets (Stamford, CT)
- …data functions / flow. + Direct understanding of US regulatory requirements specific to Broker Dealer Operations . + Individual must be self-motivated who is ... US Operations Oversight & Advisory, Vice President LocationStamford,United States...may be assigned as necessary to ensure the proper operations of the department and the business._ **Overview:** The… more
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