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The firm is a broker-dealer registered with the United States Securities and Exchange Commission and a member of the Financial Industry Regulatory Authority. Job Title: Investment Banking Analyst, Healthcare Services and Technology.
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Previous broker dealer compliance or other financial services responsibilities a plus. Assist CCO with managing the administration of the broker dealer program. Review and maintain broker dealer written supervisory procedures and operational procedures.
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This includes submitting materials for broker-dealer compliance approval prior to use. Member FINRA/SIPC. CFS is a broker/dealer and RIA with a stable track record of serving the investment needs of credit unions and their members.
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2+ years EPS Liquidity Risk/ALM/Treasury experience gained within a bank, regulatory agency or swap/broker dealer. Understanding of Liquidity Risk Regulatory requirements pertaining to Reg YY and FINRA, CFTC, NFA or FDIC.
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The Summit Financial Advisors program is available through a partnership with TruStage and LPL Financial, the largest independent broker-dealer in the U.S. Officially an employee of TruStage, you'll be supported by this strong, combined partnership with over 200 years of experience and the resources of all three highly reputable companies.
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Our relationship with Securian Financial Services, Inc. allows us to be independently owned and operated while providing you with the support and training of a well-established financial services company and broker dealer firm.
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In this role, you will work with a team of external and internal wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products.
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As a Broker Dealer Regulatory Specialist VP, you will be managing the critical function of the SEC Rule 15c3-3 Customer Reserve requirement. Experience and expertise in SEC/FINRA Broker Dealer Regulatory Reporting, including performing and/or overseeing the 15c3-3 customer reserve requirement.
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RJA serves as a clearing broker-dealer and custodian for many of our affiliated broker dealer/ investment advisor subsidiaries, including RJFS and RJFSA. Additionally, RJA provides trade execution, custody, and clearing services to non-affiliated registered investment advisers and introducing broker-dealers through its RIA & Custody Services Division (RCS.
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. Follows the established securities and insurance compliance guidelines, and strictly adheres to all Credit Union, TFA and broker-dealer policies where appropriate.
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As a Vice President and Legal Counsel, you will play a pivotal role in helping to ensure the joint venture closes in a timely manner and shaping the legal framework and strategy of the newly formed global joint venture, which will have broker-dealers and/or broker-dealer operations in 20+ jurisdictions.
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Ranked as one of the top broker-dealers in the industry, we work with many of the top financial institutions throughout the country. Consumers Credit Union , as part of its relationship with CUSO Financial Services, LP (CFS) is seeking a Financial Advisor to provide investment services to its members in the Lansing, MI area.
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 24-year track record of serving the investment needs of credit unions and their members. EOE Relevant Word Search: Registered Representative, Advisor, Adviser, Certified Financial Planner, CFP, Financial Consultant, Investment Manager, Investment services, Mutual Funds, Investments, Chartered Financial Consultant, CHFC, Sales, Banking, Broker, Financial Services, Financial Professional, Financial Advisor, Insurance Sales, Bankers, Finance, Retirement Planning, Estate Planning, 401k, Life and Casualty, Asset Management, Wealth Management, Series 7 Powered by JazzHR.
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RJA is an investment adviser and full-service broker-dealer dually registered with the Securities and Exchange Commission. Job Description - Junior Retirement Plan Consultant - NWPS (2401017.
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We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
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