- Bank of America (Charlotte, NC)
- Broker - Dealer Customer Protection Program Lead Charlotte, North Carolina **To proceed with your application, you must be at least 18 years of age.** ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/ Broker - Dealer - Customer - Protection -Program-Lead\_25025513-2) **Job Description:**… more
- PNC (Chicago, IL)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based ... upon that we expect our employees to be: + ** Customer Focused** - Knowledgeable of the values and practices...employee and spouse/child life insurance; short and long-term disability protection ; 401(k) with PNC match, pension and stock purchase… more
- Vanguard (Malvern, PA)
- …and dynamic team that performs Treasury Functions consisting of moving and reconciling broker dealer cash activity. The VMC Treasury Liaison will perform the ... special reserve account in compliance with SEC rule 15c3-3 ( Customer Protection Rule). VMC is a Vanguard...reserve computations. + Working knowledge of BetaNeXT and the broker dealer stock record/ + Working knowledge… more
- PNC (Pittsburgh, PA)
- …sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... **The Role at a Glance** We are excited to bring on a ** Customer Service Representative** to support the Retirement Plan Services business (bilingual opportunities… more
- Citigroup (Getzville, NY)
- … customer reserve requirement pertains to net capital rule (15c3-1) and US customer protection rule (15c3-3), as well as other Citi policy implementation ... regulatory risk to the firm. + Ensure capital and customer reserve exposure calculations are accurate and taking action...4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational… more
- Lincoln Financial (Salem, OR)
- …partnership with Lincoln Financial. You will be the "go to" for the customer (HR Representative, broker , decision maker, benefit team, corporate level, etc.) ... experience + Experience working with multiple products + Presentation training or skills + Customer and/or broker facing role **Travel Requirements** + Up to 20%… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... point of contact for OTC Markets corporate issuer clients throughout the customer lifecycle; build and maintain strong, trusted relationships and develop a deep… more
- Lincoln Financial (Omaha, NE)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... excited to bring on a Legal Counsel - Group Benefits to support our Group Protection Business. In this role you will provide legal advice and support relating to the… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... bring on an Associate, Compensation Administration to our Group Protection Commission team to work in one of our...Handles inquiries from internal and external partners, such as: broker of record changes, new compensation set ups or… more