- Guardian Life (New York, NY)
- 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
- MUFG (New York, NY)
- …as the technical bridge between operations and the technology that powers our broker - dealer settlement engine. This role requires deep expertise in trade flows, ... or a related field. * 8+ years of progressive experience in broker - dealer back office, financial technology, or equivalent financial operations roles.… more
- JPMorgan Chase (New York, NY)
- …channels to proactively position our real estate solutions through RIA's and our broker - dealer partners. + Develop and implement a comprehensive sales strategy ... risk spectrum and capital stack. **Job Summary** As the Executive Director, Investment Specialist on the Real Estate Americas client strategy team, you will focus on… more
- TD Bank (White Plains, NY)
- …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 Senior Support Specialist is responsible for the strategic and operational oversight of the… more
- Wellington (New York, NY)
- …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 (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... initiatives and a variety of complex projects and initiatives requiring seasoned specialist knowledge and/or the integration of cross functional processes within own… more
- US Tech Solutions (Newark, NJ)
- …systems + Must have experience with DTC Corp Actions processing functions and broker dealer operations + Knowledge of BPS settlement systems is preferred ... of going permanent.** **Job Description:** + We're seeking a Corporate Actions Operations Specialist to join our dynamic team for a contract opportunity. In this… more