- TD Bank (Charlotte, NC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- MUFG (New York, NY)
- …with the necessary product expertise to support project success. Manage the onboarding and offboarding processes for Business Analyst resources. + **Project ... including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + **Product Knowledge:** Expertise with a broad range… more
- TD Bank (Mount Laurel, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to broker dealer policies, training materials, and certifications.** + **Various ... a member of the US Wealth Compliance Department, the Compliance Business Oversight Analyst duties:** + **Ensure ongoing compliance with the Investment Company Act of… more
- Commerce Bank (Kansas City, MO)
- …our Commerce Financial Advisors (CFA) accounts which use LPL Financial as a broker - dealer & Registered Investment Advisor. The team provides exceptional customer ... service focused and technically adept individual for our Systems Support Analyst role in our Commerce Financial Advisor divisions. Commerce Financial Advisors… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, self-motivated, and highly organized ... Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and Compliance team,...requests for potential new hires + Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …broad understanding of the different areas of investment advisory relationships and broker - dealer services. Contact with internal and external parties, including ... Assist with Financial Advisor inquiries regarding product offerings and retirement plan onboarding to firm systems. + Assist Team and Financial Advisor's with… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, ... similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more
- TD Bank (Portland, ME)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... circumstances._ **Job Profile Summary:** The Senior Compliance Governance & Operations Analyst provides a range of research, analytical and/or operational process… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... within SMBC Nikko Securities America, Inc. is seeking an Analyst level candidate to provide operational support to the...timely escalation of emerging risks/issues + Work with Client Onboarding Team to comply with internal client data management… more