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We are a broker-dealer and RIA providing support to financial advisors in all areas of their business: compliance, technology, marketing, operations, practice management, and more. FINRA Series 7, 66, Series 9/10.
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LPL Financial, member FINRA, SIPC, is the clearing broker-dealer for Equitable Advisors, LLC and they are not affiliated. o Our broker/dealer powered by one of the worlds largest broker/dealers LPL.
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Cetera is nationally recognized as a self-clearing broker-dealer, registered investment adviser, and insurance agency serving the clients of nearly 500 institutions with assets ranging from $15 million to $13 billion nationwide.
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Maintain compliance with all applicable STIS, FINRA, SEC, State of Florida, and broker-dealer laws, regulations, policies, and guidelines. Adhere to broker and dealer-approved products list.
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Large Trading Platform Company Seeking Skilled Accountant with Broker-Dealer and Clearing Experience. In-depth understanding and experience with Series 27 license requirements and compliance standards related to broker-dealer operations.
$150,000 - $250,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
RemoteExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
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Calton & Associates is looking for a highly motivated and experienced Operations Specialist to support broker dealer, RIA, and Insurance agency operations. With over 100 offices nationwide Calton & Associates is a family friendly broker/dealer for quality advisors who want independence along with support to grow their business.
Full-timeExpandApply NowActive JobUpdated 14 days ago - UpvoteDownvoteShare Job
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Subject matter includes U.S. securities laws (especially the Investment Advisers Act of 1940 and OCC Title 9), as well as the Investment Company Act of 1940, broker-dealer and banking regulations, FINRA licensing/registration of personnel, data protection, and SEC and FINRA regulatory disclosures/filings.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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Broker-dealer or financial services experience, including AML experience required. Fintech client seeking an Internal Auditor who will be responsible for performing various internal audit engagements and Sarbanes-Oxley internal controls tests.
Full-timeExpandApply NowActive JobUpdated 19 days ago - UpvoteDownvoteShare Job
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The Financial Advisor provides financial and investment services to Suncoast Credit Union members. Suncoast Credit Union is consistently chosen as a Top Workplace because its employees genuinely #LOVEWORK.
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7+ years and/or equivalent of experience in internal audit and/or equivalent of experience with the financial services industry, related markets and regulated industries, specifically in the areas of Corporate, Investment Banking (lending and underwriting), Capital Markets including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer, Volcker and FINRA, SEC and NASD rules.
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Broker-dealer functions including record keeping, settlement mechanics, and trade processing. Perform the execution of the Manager Control Assessment (MCA, i.e., Risk & Control Self-Assessment) as required by the MCA Standard including the assessment and appropriate approval of risk associated with business changes.
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