, and other operations functions on the Fidelity National Financial Services platform for brokerage and advisory accounts. Assist financial... professionals who directly service the client and address business issues and questions to help with their practice...
Kforce has a client in El Segundo, CA that is currently seeking an Operations Support Associate. This is a unique...-clients with the navigation and use of various systems associated with the Broker/Dealer Troubleshoot and resolve product...
& trading activities. Knowledge of Broker Dealer rules and regulations, which include but not limited to SEC, FINRA, CFTC, NFA... Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management...
as they pertain to the broker/dealer and RIA space. Strong understanding of direct indexing, UMAs, SMAs, models, rebalancers, ETFs... and regulations as they pertain to the broker/dealer and RIA space. MBA and/or industry-relevant certifications preferred. (CIMA, CFP...
along with our broker-dealer, Capital Brokerage Corporation. You will work closely with and provide day-to-day compliance support... and add new service offerings, products and outreach to customer bases in the B2B, B2C and B2B2C spaces The Compliance Manager...
, Compliance and Operations associates in managing Broker Dealer related financial risk, control and compliance related matters... proactive in offering constructive solutions? The Broker Dealer Financial Reporting team has an opening for a Manager...