- 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
- Capital One (Richmond, VA)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk ... experience** **Preferred Qualifications:** + **4+ years of experience within a broker dealer registration and licensing function or similar compliance… 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
- Charles Schwab (Westlake, TX)
- …improve the efficiency of governance processes, risk management, and internal controls. The Broker Dealer Asset Management (BDAM) Audit Team is seeking a Senior ... IT Auditor (Senior Specialist , Internal Audit - Technology is our internal title) primarily responsible for audit activities covering BDAM focused on key application… 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
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- Aegon Asset Management (Denver, CO)
- …to support the sale of Transamerica products. Manages relationships with broker - dealer through proactive and thoughtful sales planning. Job Description ... the products, services and positioning messages of Transamerica and convey to broker - dealer firms. + Foster relationships with key account relationship managers… more
- Wells Fargo (Salt Lake City, UT)
- …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
- TD Bank (Greenville, SC)
- …3010(e) and successor regulations **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... role. **Line of Business:** TD Wealth **Job Description:** The Financial Advisor Support Specialist acts as a point of client contact accountable to serve the needs… more
- PNC (Cleveland, OH)
- … 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