- 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...are achieved. Work with business partners (ie, Surveillance, IT, Operations etc.) to develop and enhance systems, tools, reports,… more
- Capital One (Arlington, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (… more
- Hennion & Walsh, Inc. (Parsippany, NJ)
- Operations Associate - FINRA Series 99 or...required Prior relevant experience with a Broker Dealer or Investment Advisor Working knowledge of FINRA , ... Hennion & Walsh is seeking a Series 99 licensed Operations Associate for our growing company. The position will...our growing company. The position will work within our operations department, processing client requests and helping us deliver… more
- Principal Financial Group (Roseville, CA)
- …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 and… more
- National Life Group (Addison, TX)
- …and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA /SIPC, is a Broker / Dealer and Registered Investment Adviser affiliate ... notification and manager discretion). Minimum Qualifications Bachelor's degree in business, Operations Management, or related fields. 3+ years of experience in… more
- FIS, Inc. (New York, NY)
- …bonus if you have: Exposure to Compliance and Industry matters within a Broker - Dealer Solid operations background Strong understanding of securities ... Good all-round knowledge of US Retail, Advisory/Wealth, Correspondent Clearing and Institutional operations Good understanding of SEC, FINRA , MSRB, Fed, and… more
- Altruist (San Francisco, CA)
- …Domain knowledge and solid understanding of the investment management landscape and broker dealer need Technical aptitude - You're technologically savvy and ... for all issues affecting trading Liaise with the Customer Success, Trading Operations , and Compliance teams to investigate issues and work closely with engineering… more
- BMO Financial Group (New York, NY)
- …experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/ FINRA regulations. If you have dealt with ... this is a hybrid position that requires four days onsite at our New York office. Our ideal candidate has a SEC/ FINRA examiner background with broker dealer … more
- 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
- Huntington National Bank (Chicago, IL)
- …, fixed income operations , or similar broker dealer operations experience Preferred Qualifications: + FINRA Series 52 or ability to obtain within ... municipal underwriting operations , fixed income operations , or similar broker dealer operations experience + High School diploma with 9 years of… more
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