Broker Dealer Operations Jobs

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Brokerage Operations Lead, Cash App  

Square - Portland, Oregon

and internal, cross-functional stakeholders. You will be the brokerage operations manager responsible for the critical functions of the broker-dealer for Cash App Investing LLC, identifying and remediating Broker Dealer Operations Work careers...

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from: resume-library.com - 7 days ago

SVP, Accounting  

LPL Financial - Los Angeles, California

,organizing and executing:thisrolewillberesponsibleformanaging theControllership accounting operations in an organized fashion to producemonthlyfinancials for theconsolidatedentity, a broker/dealer Broker Dealer Operations careers...

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from: resume-library.com - 9 days ago

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Broker Dealer Operations Associate - Investment Bank  

UBS - North Plainfield, New Jersey

for and drive projects to successful completion Your team You'll be working in the Broker Dealer Operations Team. We’re responsible for coordinating audits, reviewing Operations processes to assess compliance broker dealer management...

from: snapjobsearch.com - 22 days ago

Financial Advisor Wealth Direct  

TCF Financial Corp - Maplewood, Minnesota

and handoff. - Ensure the efficient operation of the daily work flow, and adherence to regulatory and compliance standards/guidelines. - Complete data entry and information retrieval using broker dealer website broker dealer license...

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from: resume-library.com - 9 days ago

Para Planner  

Kestra Financial Independent Advisor - Elmsford, New York

and/or Experience * Bachelor's degree * The ideal candidate will have 3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services broker dealer...

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from: resume-library.com - 20 days ago

Director Compliance, Retirement  

Prudential - Newark, New Jersey

as necessary Qualifications: Expertise and extensive knowledge of RIA regulations and operations Well versed in investment process, broker-dealer operations , and Turnkey Asset Management Program (TAMP broker dealer operations manager...

from: snapjobsearch.com - 5 days ago

Financial Advisor/Vice President  

Kestra Financial Independent Advisor - Irving, Texas

, accounting or related field * The ideal candidate will have 5+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services broker dealer operation...

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from: resume-library.com - 20 days ago

AVP of Accounting & Finance  

Hold Brothers - New York, New York

regarding the proper accounting for transactions within the current SEC/FINRA regulatory framework. Works closely with Broker Dealer operations to implement appropriate accounting for new product director broker dealer operations...

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from: resume-library.com - 22 days ago

Vice President, Chief Compliance Officer Retail Advice & Solutions and Distribution  

Prudential - Newark, New Jersey

a team; strong business acumen; deep knowledge of core rules and regulations underpinning FINRA broker-dealer, SEC investment adviser, and state insurance compliance functions, but also an understanding manager broker dealer operations...

from: snapjobsearch.com - 5 days ago

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Client Service Wealth-Parthenon Wealth  

Kestra Financial Independent Advisor - Vancouver, Washington

in the financial services industry allowing for a good understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities broker dealer operations manager 5...

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from: resume-library.com - 23 days ago


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