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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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7+ years’ experience in accounting and reporting at regulated financial services firms (FinTech, banking, payments, lending, broker dealer, crypto) and/or public accounting experience. We power neo-banks, broker-dealers, and payment groups to offer digital asset trading and custody, crypto-backed rewards and round-up programs.
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New Business Specialist , you’ll play a key role in Pacific Life’s growth and long-term success by providing exceptional customer service, operations support, problem resolution and specialized administrative support to producers, policy owners, broker/dealer back-offices, and other customers.
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2-5 years experience with a broker-dealer or FCM, an exchange, the SEC, FINRA, CFTC, NFA, or a law firm in compliance, risk, technology, audit, or other related areas. Barron's has recognized Interactive Brokers as the #1 online broker for six consecutive years.
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As a New Business Specialist II, you’ll play a key role in Pacific Life’s growth and long-term success by providing exceptional customer service, operations support, problem resolution, and specialized administrative support to producers, policy owners, broker/dealer back-offices, and other customers.
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Works in partnership with National Account Managers to place Touchstone Funds within assigned broker-dealer recommended lists and model portfolio programs. These markets include RIAs, family offices, private banks, TAMPs, broker-dealer platforms, mutual fund consultants and 401(k) alliances within the assigned territory.
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Assess the broker-dealer compliance program designed to prevent illegal, unethical, or improper business practices. - Perform audits of Broker Dealer and Global Markets activities and its products including trading, sales, risk management, operations and compliance functions to ensure compliance with policies and SEC, FINRA and CFTC regulations.
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The Digital Platform Sales Director role is responsible for driving results within the RIA and Broker Dealer channels. The Digital Platform Sales Director role is responsible for driving results within the RIA and Broker Dealer channels.
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The VP, Broker Dealer Controller, will be a member of the Corporate Finance team and report into the Chief Accounting Officer. Broker Dealer Controller. Broker Dealer experience would be highly preferred.
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We are seeking a candidate with experience within either a financial advisor practice, at a wealth management intermediary such as a Broker/Dealer, RIA, or custodian, an organization serving or supporting financial advisors, a wealth management technology vendor, or a technology consulting organization.
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Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting. Experience in the financial services industry, either working for an investment manager, broker dealer, law firm, accounting.
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For wealth managers serving entrepreneurial, small business, and family business clients, our dual RIA and broker-dealer structure empowers earning investment banking fees on client M&A liquidity events and then advising upon and managing the investment proceeds.
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9-12 years’ experience working in the Financial Services Industry at a Broker-Dealer in the Middle Office or Operations areas. Familiarity with Fidessa & DTC Alert/CTM - A MUST. Knowledge of Broadridge BPS, Pershing NetX, Murex, IPREO. - A Strong Plus.
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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. 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.
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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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