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Securities Registration Specialist I-II
access_time Posted 26 days ago
account_balance Missouri Secretary of State
location_on Jefferson City
... Missouri as broker/dealers, broker agents, investment advisers and investment adviser ... Maintain appropriate documentation related to the registration and notice filings of securities ...
Compliance Operations Analyst
access_time Posted 2 days ago
account_balance Bernardi Securities, Inc.
location_on Northfield
Bernardi Securities, Inc. (BSI) is a broker-dealer, specializing in active municipal bond portfolio management for private clients, public finance services, and fixed income capital market services
Securities Lending Associate - 10pm - 7am
access_time Posted 15 days ago
account_balance eSecLending
location_on Boston
The Securities Lending Associate (SLA) will provide direct assistance to eSecLending's clients and broker/dealer communities in Europe, North America and Asia. This position is responsible for ...
Registered Client Service Associate
access_time Posted 3 days ago
account_balance Hilltop Securities Inc.
location_on Dallas
Hilltop Securities Independent Network (HTIN) is a brokerage firm, which provides a home for independent representatives. We offer and support a broad range of customer services, including self ...
Analyst / Sr. Analyst, Compliance (Broker Dealer)
access_time Posted 13 days ago
account_balance Resolute Investment Managers
location_on Irving
Analyst / Sr. Analyst, Compliance (Broker Dealer) Resolute Investment Managers, Inc. ("Resolute ... S. Securities and Exchange Commission, Financial Industry Regulatory Authority, S. Commodity ...
Securities Trader / Operations Specialist
access_time Posted 12 days ago
account_balance Union Bank and Trust Company
location_on Lincoln
Continually monitor and track multiple broker/dealer inventories. Work/negotiate directly with ... securities trading and data integrity are addressed in a timely manner. * Assist UIMG analytical ...
Insurance Broker | 80 Plus Companies, Training, Local Office Support
access_time Posted yesterday
account_balance Futurity First Insurance Group - Greater Texas
location_on McAllen
... security and retirement needs of seniors, pre-retirees, families and businesses. Our unique ... With access to our broker-dealer and top insurance carriers, Futurity First advisors are able to ...
Fast Track To Management
access_time Posted 1 month ago
account_balance NewYorkLife/ NYLIFE Securities LLC
location_on Baton Rouge
... through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency Qualifications: * The ideal candidate will have a track record of success in sales or ...
Client Account Manager
access_time Posted 1 month ago
account_balance Gradient Securities
location_on Arden Hills
Gradient Securities is a Broker-Dealer dually registered with FINRA and as Gradient Wealth Management who is an SEC registered investment advisor firm. In this position you will act as the financial ...
Technology Services Broker for Utah Market
access_time Posted 13 days ago
account_balance Syringa Networks LLC
location_on Salt Lake City
... Security, Compliance, and Application Development operations. This includes the base level ... The Technology Services Broker drives business by understanding the needs of the client and ...
Trust Operations Associate - Securities Specialist
access_time Posted 1 month ago
account_balance COREFIRST BANK & TRUST
location_on Topeka
Securities Accounting includes, but is not limited to, ensuring securities transactions are ... Ensure compliance with relevant regulations pertaining to trade and broker recordkeeping * Support ...
Broker-Dealer Back Office Specialist
access_time Posted 26 days ago
account_balance Brokerage Services
location_on Jersey City
Broker-Dealer Back Office Specialist Location: Jersey City, NJ The Operations Specialist will work ... of securities regulations and industry practices • Excellent analytical and problem-solving ...
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