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Perform annual OCC Reg. 9 reviews of mutual fund client accounts. P erform certain investment duties including trading of common stocks, ETFs and mutual funds; analyzing mutual funds; rebalancing accounts by investing and divesting cash according to investment guidelines and client needs.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Ability to discuss Fiduciary Solutions, including various mutual fund share classes and impact on plan/cost. Ability to discuss Fiduciary Solutions, including various mutual fund share classes and impact on plan/cost.
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Transfers can include but are not limited to incoming/outgoing ACAT, delivery/receive of securities free of payment which include DTC, Government, Mutual Fund, International transfers, DRS and/or DWAC transfers.
TemporaryExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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Team responsibilities include account openings and closings, receiving and delivering assets, account maintenance, distributions and contributions, money market and mutual fund trading, trade settlement/calls/options, trade allocations, income payments, corporate actions, gifting assets, securities maintenance, tax processing and reporting, client website administration and support, and reconciliation.
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Responsible for review and approval of the accurate processing and compliance of all aspects of the payroll process including but not limited to, processing all payroll deductions; processing and auditing compensation changes and withholding adjustments; developing annual payroll schedule; monitoring and transmitting funds to defined contribution and flexible spending plan providers; generating various reports as needed; requesting funds necessary to fund the payroll accounts.
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Washington DC area-based financial firm is looking for an experienced investment economist to lead a team that creates original research on the structure and trends of the US and global ETF, mutual fund, and closed-end fund industries.
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This product manager will take the lead in shifting the Advisors’ site from a one-size-fits-all to tailored experience based on each advisor’s needs and context, while also maintaining and enhancing our popular ETF and mutual fund pages.
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Passion for service to clients Motivation to learn about the securities industry, including the basic principles of equity, option, and mutual fund transactions. You’ll also take charge of your own professional journey by attending the Schwab Service Academy, which provides you with the paid training, study time, and support you need to obtain your Securities Industry Essentials and FINRA Series 7 & 63 licenses.
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The team manages three funds: a Cayman Hedge Fund, a UCITS fund, and a 1940 Act mutual fund. The Fund will invest across the capital structure allowing the team to generate alpha by implementing best ideas within a flexible risk-aware framework.
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You have a proven track record in third-party distribution, a broad knowledge of the mutual fund, SMA and ETF business and sales cultures, and the demonstrated ability to build long-term relationships.
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Our client, a full-service Investment Management Solutions Firm providing, Investment Adviser Compliance Solutions, Mutual Fund Compliance Solutions, Broker Dealer Compliance Solutions, and Compliance Consulting to a diversified range of investment management clients is seeking a Director of Compliance to join their team.
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This role is dedicated to the distribution of the 1290 retail mutual fund products issued by Equitable to professional financial intermediaries such as broker-dealers, banks, independent financial planners, and Equitable Advisors, the company's retail distribution organization.
InternExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Knowledge of standard commercial lines carriers' systems is a huge plus (Liberty Mutual, Travelers, State Fund, Mercury, Hanover, Hartford, etc.) Assisting other agency departments in securing and/or providing information necessary to issue appropriate polices in their department for which we have a mutual client.
Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Execute mutual fund trade requests and portfolio rebalancing requests; Execute mutual fund trade requests and portfolio rebalancing requests; Current FINRA SIE, Series 7 and 65/66 license or willingness to complete within designated timeframe.
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In-depth technical knowledge of investments, accounting (GAAP) and broad business knowledge of mutual fund industry and regulations including Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940 and Subchapter M of Internal Revenue Code.
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