- 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
- TD Bank (Exton, PA)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or escalating ... reports; and assisting advisors with all aspects of trading operations this rule supports complex transactions including blocked and...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- TD Bank (White Plains, NY)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and ... + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... for this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD Securities,… more
- Santander US (Boston, MA)
- …stay current with competitive trends. + Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... USA Sr. Specialist , Sales & Service Support Country: United States...investment/insurance service needs and maintaining consistent with compliance and operations standards + Proactive daily client management of operational… more
- JPMorgan Chase (New York, NY)
- … Operations to drive revenue and client success + Strategize with key broker - dealer firms on 529 plan goals and initiatives + Manage day-to-day relationships ... way that's best for them. As a 529 Relationship Manager and Investment Specialist within JP Morgan Asset Management's Global Strategic Relationship team, you will… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or ... Position Objective, Typical Duties and Responsibilities We're currently seeking a Compliance Specialist to support the firm's Compliance Program. You will report to… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... rules. **About this role:** Wells Fargo is seeking a Lead Business Accountability Specialist (Vice President) for our ETRM team. We are seeking a self-starting… more
- Wellington (Boston, MA)
- …including SEC, CFTC, FINRA, NFA requirements + Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, ... with legal support of Wealth initiatives preferred (eg, marketing, limited-scope broker / dealer support, US retail fund distribution, interval funds, tender… more
- TD Bank (Charlotte, NC)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management** + **Prior experience working with ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...of the Compliance program + Represents CGO as a specialist on internal or external committees as well as… more
Related Job Searches:
Broker,
Broker Dealer,
Broker Dealer Operations,
Dealer,
Operations,
Operations Specialist,
Specialist