- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... Compliance, IT Risk and Training committees. The Compliance Advisory Associate role assists in managing coverage areas or processes...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- PNC (Pittsburgh, PA)
- …and have an opportunity to contribute to the company's success. As an Accounting Associate Senior within PNC's Capital Markets Finance organization, you will be ... based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business for C&IB… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer...Associate will work closely with the team and senior stakeholders across Risk, Compliance, Legal, Operations, and Front… more
- Capital One (Plano, TX)
- Capital Markets Senior Associate Are you looking for a...or 99 license + 4+ years of experience in Broker Dealer + 4+ years of experience with ... causing trades not to settle + Work with clearing broker and client back offices to ensure accurate bookings...of internet provider, speed and service package from the associate . Requirements are subject to change, as new systems… more
- Kestra Financial (San Antonio, TX)
- Mission Financial Planners, LLC is seeking a Senior Client Service Associate who will play a pivotal role in driving the firm's growth and operational ... highly organized, detail-oriented, and committed to delivering exceptional client service. The Senior Client Service Associate reports directly to the Financial… more
- Wells Fargo (Irvine, CA)
- **About this role:** Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... applicable + Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- Ankura (Nashville, TN)
- …significant portion of all licensed US money transmitters. We are seeking a Senior Associate , Licensing Acquisition, to join the team. Ideally this role ... commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered… more
- Kestra Financial (Palo Alto, CA)
- …over the finish line and have a desire to learn, advance, and excel? The Senior Sales Associate reports to the Financial Advisor and is critical in meeting ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to:… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Supervisory + Responsibilities: None Knowledge,… more
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