- Capital One (New York, NY)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk ... experience** **Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance… more
- Guardian Life (New York, NY)
- The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment ... products. The role supports end‑to‑end operations from onboarding through transactions, reconciliation, and servicing requests. **You are** + A consummate professional with excellent verbal and written communication skills + Self-motivated and goal-oriented +… more
- M&T Bank (Boston, MA)
- **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 ... and interpret applicable FINRA, SEC, and other SRO rules as applicable to broker - dealer activities. + Assist in review of controls in place that are designed… more
- Charles Schwab (Lone Tree, CO)
- …all audited financial statements for applicable subsidiary entities, including Schwab's broker - dealer , bank, and international subsidiaries. The SEC Reporting ... US GAAP, financial reporting principles, and SEC regulatory requirements. + Relevant broker / dealer , banking, or other financial services accounting experience a… 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
- TD Bank (Greenville, SC)
- …3010(e) and successor regulations **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... role. **Line of Business:** TD Wealth **Job Description:** The Financial Advisor Support Specialist acts as a point of client contact accountable to serve the needs… more
- JPMorgan Chase (New York, NY)
- …position our private credit solutions through our RIA, wire house, and independent broker - dealer partners. + Educate RIA clients and financial intermediaries on ... **Job Summary** As an Executive Director on the Private Credit Solutions Group Investment Specialist Team in New York, you will be focused on raising assets and… more
- JPMorgan Chase (New York, NY)
- …Legal and Operations to drive revenue and client success + Strategize with key broker - dealer firms on 529 plan goals and initiatives + Manage day-to-day ... 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
- 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
- TD Bank (Exton, PA)
- …experience + 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 ... of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or escalating flagged live orders,… more
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