and our relationships with them are the measure of everything we do. And Service and Operations divisions are at the center of it... reports, unmatched inter-dealer trade reports, exception time differences, questionable trade reports and system rejects...
professionals who directly service the client and address business issues and questions to help with their practice... from Wealthscape and Avaya required for TFA to oversee service and processing metrics, and identify areas for optimization. Partner...
presence in the U.S. wealth channel, particularly within the Independent Broker Dealer segment. This role play a key part... in managing and growing relationships with iCapital's largest clients and prospects in the Broker Dealer channel while driving...
company’s success. We are looking to hire an AML Sanctions Advisor within PNC's Enterprise Advisory Broker Dealer team... of direct experience with Broker Dealer Job Duties include, but are not limited to: · Provide critical challenge to the front...
demeanor. This role will report to both the CCO of the Broker-Dealer and Vista’s co-Senior Fund Counsels and can be based... will work with the Fund Formation and Broker-Dealer entity to support Vista’s marketing and investor on-boarding functions...
of client service work experience preferred. Must have experience working with large broker dealer clients. At BNY... for the world. This is what #LifeAtBNY is all about. We’re seeking a future team member for the role of Senior Client...
these qualities. Financial Audit - Senior Analyst - SDC Financial Services Organization The Service Delivery Center... opportunity The Service Delivery Center is a core component of the Financial Services Office (FSO). This Senior Analyst position...
, broker-dealer operations, clearance and settlement, client onboarding, treasury operations, collateral management... these qualities. Capital Markets Senior: This position could be located in NY, NC. EY is the only professional services...
banking, and broker dealer product and service knowledge (e.g., equity and debt securities, commodities, derivatives, foreign... or more years of work experience with capital markets and/or broker dealer regulatory compliance or a graduate degree...
experience with capital markets and/or broker dealer regulatory compliance or a graduate degree and approximately 1-2 years... testing, and development and evaluation of compliance program testing Capital Markets, investment banking, and broker dealer...
, governance, design and operations in relevant areas, such as trade life cycle, front-office structure, broker-dealer operations... their infrastructure, dealing with regulatory change, defining their digital client strategy, enhancing their client service experience...
for a Registered Client Service Associate to support Financial Advisors and senior level management. Responsibilities include... from an accredited university FINRA Series 7 license required 3+ years broker/dealer sales support experience preferred...
-dealer. Provides education, issue resolution and transactional service to NSLLC clients using concierge type service. Acts... opening and paperwork resolution. Maintains up-to-date records of all conversations and is adept with broker-dealer systems...
, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC... to increasingly senior levels of management. Qualifications: Have or willing to pass FINRA S7, S63, S65, or S66 Registrations...
with bank associates, various personnel for the Broker Dealer insurance companies and department vendors. Handles questions... and paperwork from clients and Financial Advisors, is the key person for uploading documents into the Broker Dealer system. Prepares...
, you’ll make an impact in the following ways: Knowledge and experience in broker-dealer trading and operations, margin... at a senior level. Substantial operations, conduct, and governance understanding and exposure. Demonstrates a robust...
to US broker-dealers, swap dealer and capital markets businesses with experience across a wide range of regulatory requirements... team members and work with senior manager to effectively deliver operational processes, manage risks and problem solve...
Job Description: The Financial Institutions team is currently seeking a Senior Underwriter to execute growth..., private equity and venture capital) Bankers Professional Liability Insurance Company Professional Liability Security Broker...
requirements, sector-specific regulations, and broker-dealer compliance. Regulatory Compliance encompasses three different service... of our Service Delivery Center. The opportunity As a Senior Manager you will play a key role in defining the evolution...
is a fundamental need for everyone. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary... put, we take care of our advisors, so they can take care of their clients. Job Overview: As a Senior Full-Stack...