- 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 ... technology + Collaborate with various internal departments including compliance, licensing, operations , and our internal clearing firm **You have** + Knowledge of… more
- Charles Schwab (Westlake, 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
- MUFG (New York, NY)
- …settlement system support specialist to serve as the technical bridge between operations and the technology that powers our broker - dealer settlement ... in broker - dealer back office, financial technology, or equivalent financial operations roles. * Deep knowledge of broker - dealer products (equities,… more
- TD Bank (Exton, PA)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Support Specialist is responsible for reviewing releasing or escalating ... reports; and assisting advisors with all aspects of trading operations this rule supports complex transactions including blocked and...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- TD Bank (White Plains, NY)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and ... + 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 Laws. May (or… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... for this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD Securities,… more
- Santander US (Boston, MA)
- …stay current with competitive trends. + Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... USA Sr. Specialist , Sales & Service Support Country: United States...investment/insurance service needs and maintaining consistent with compliance and operations standards + Proactive daily client management of operational… more
- World Insurance Associates, LLC. (Santa Barbara, CA)
- …Minimum two (2) years of Compliance and/or regulatory experience within both RIA and broker - dealer business segments., + Series 7, 24 (or 26), 63, 65 (or ... Position Objective, Typical Duties and Responsibilities We're currently seeking a Compliance Specialist to support the firm's Compliance Program. You will report to… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... this role:** Wells Fargo is seeking a Supervisory Control Specialist to join our Financial Network (FiNet) within the...our Financial Network (FiNet) within the Branch Infrastructure and Operations group as part of Wealth & Investment Management.… more
- TEKsystems (Charlotte, NC)
- …forms or other operational processes. Skills FINRA, administrative support, Smartsheet, RIA, Broker Dealer , excel, Additional Skills & Qualifications * Client ... transformation for our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions. We're a team… more
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