- Guardian Life (Bethlehem, PA)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... help implement flawless strategies with our advanced technologies, contributing to our world-class service! **You are** + A consummate professional with excellent verbal and written communication skills + Self-motivated and goal-oriented + Patient, empathetic,… more
- Wells Fargo (Allentown, PA)
- …years of financial services industry experience + Experience in compliance or broker - dealer governance + Experience partnering with business, compliance and ... this role:** Wells Fargo is seeking a Supervisory Control Specialist to join our Client Relationship Group within Wealth...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- PNC (Pittsburgh, PA)
- … Senior preference would be to have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses are preferred or willingness to ... an opportunity to contribute to the company's success. As a Compliance Program Specialist Senior, within PNC's Retail Organization, you will be supporting the Risk,… 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