- Guardian Life (Holmdel, NJ)
- The Operations Specialist will serve as the expert on all aspects of our managed account model management, trading platform, annuity operations as well as ... Proposals, Multiple Account Proposals as well as our Digital strategy. The Operations Specialist will intimately understand how our Portfolio Administration… more
- Vanguard (Charlotte, NC)
- …of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments ... of compliance experience in financial services, with at least 2 years in broker - dealer or banking-like operations . + Proven experience with cash products and… more
- BMO Financial Group (New York, NY)
- …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance...banking services and regulatory requirements. + Serves as a specialist resource within BMO Capital Markets with advanced knowledge… more
- Charles Schwab (Austin, TX)
- …- Dealer /Asset Management enterprise team is seeking a Senior Auditor (Senior Specialist ). The Broker - Dealer /Asset Management team provides internal audit ... 5+ years of financial services-related audit experience with growing responsibility. Broker Dealer /Asset Management experience specific to internal audit and/or… more
- CIBC (New York, NY)
- …FINRA Series 7, CCOS or IACCP a plus) + Working knowledge of swap dealer operations and governing Dodd-Frank/CFTC requirements + **Values matter to you.** You ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- MUFG (New York, NY)
- …Administration or a related field. + 8+ years of progressive experience in broker ‑ dealer back‑office or equivalent financial operations . + Deep knowledge ... are seeking a highly experienced senior settlement system support specialist to serve as the technical bridge between our... teams and the underlying technology that powers our broker dealer settlement engine. The role demands… more
- Lincoln Financial (Fort Wayne, IN)
- …LVIP transfer agency oversight. **What you'll be doing** **As Fund Administration and Operations - Specialist you will gain experience in:** + Operational and ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Guardian Life (Bethlehem, PA)
- As a Wealth Management Agency Operations Specialist , you will support Guardian Agencies with submitting new business and servicing wealth management accounts. ... detail oriented and possess excellent time management skills + Must understand broker dealer systems for account opening, asset movements, and order entry + Must… more
- TD Bank (Coral Gables, FL)
- …Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Supervision ... of Business:** TD Wealth **Job Description:** The Supervision Controls Specialist 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
- Lincoln Financial (Radnor, PA)
- …**Requisition #:** 74955 **The Role at a Glance** As a Digital Platform Specialist , you will perform foundational digital platform operations with increasing ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
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