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The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. The broker-dealers include Capital One Securities, Inc., KippsDeSanto & Co., and TripleTree, LLC (collectively "Commercial Broker Dealers" or "CBDs.
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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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This position is responsible for providing strategic direction for the Company’s various compliance programs, making recommendations to enhance current assessment models, administering the U.S. compliance program for the Company’s Investment Management division, including registered investment adviser (RIA) and broker dealer (BD) compliance, and supporting the Compliance leadership team.
$150,000 - $200,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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5-7 years of financial industry experience, specifically in a broker/dealer or RIA environment. Previously held Series 7, Series 24, or Series 66 licenses preferred. 5-7 years of financial industry experience, specifically in a broker/dealer or RIA environment.
$100,400 - $133,900 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Products and solutions Together with its subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds (1) through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
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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.
$17 - $21 an hourFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Experience working with Pershing as a custodian and/or Osaic as a Broker-Dealer. Use Broker-Dealer systems to monitor for rejected requests, facilitate resolutions, and address trends in rejected work.
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Experience with institutional broker-dealer or investment bank. Microsoft SSRS Business Intelligence tools, e.g., PowerBI or Tableau PowerShell Script Familiar with Razor pages, MVC, Blazor etc.
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2+ years of financial planning or closely related experience in the financial services industry, preferably with a broker-dealer or other large financial advisory firm. The foundation of knowledge and skills you acquire as both a WPA and a junior FA will differentiate you in the marketplace as a true wealth manager and prepare you for a successful career as an FA.
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Microsoft ASP.NET Core / C#, Strong background in LINQ and EF Core. Our environment consists of vendor applications, data feeds, and internally developed custom applications and databases for workflows, analytics, and reporting for our Sales, Research, Trading, Compliance and Operations areas as well as our Investment Banking & Capital Markets areas.
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Partner with Broker Dealer for new account establishment, account maintenance, and compliance. As the Client Service Associate, you will report to the Client Service Manager. The firm has grown throughout its history, partly due to a successful merger with Bernard Wolfe & Associates in 2021.
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Ability to obtain appointment by the sponsoring insurance company, broker-dealer and/or Registered Investment Advisory Firm. Execute customer and broker purchase/sales orders of securities for current/new clients.
$24 - $38 an hourExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Adhere to credit union policies and procedures, as well as regulations set forth by FINRA, SEC, and the broker/dealer. Relevant certifications such as CFP, CWS, ChFC, or CFA are a plus.
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Series 66 or ability to obtain at the request of management. Support client meeting preparation and follow-up including assembling requisite paperwork, report generation, appointment scheduling and post-meeting documentation.
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Additionally, the role ensures the accuracy of transactions, oversees account maintenance, acts as a liaison with the broker/dealer as needed and ensures compliance with all relevant government regulations.
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broker dealer jobs in Vienna, VA
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