services are provided to clients of Betterment LLC by Betterment Securities, an SEC-registered broker-dealer and member... of / , and Apex Clearing Corporation, a third-party SEC registered broker-dealer and member FINRA/SIPC. Betterment Checking...
services are provided to clients of Betterment LLC by Betterment Securities, an SEC-registered broker-dealer and member... of / , and Apex Clearing Corporation, a third-party SEC registered broker-dealer and member FINRA/SIPC. Betterment Checking...
of annual financial statements for a limited purpose broker-dealer entity Produce Ad-hoc analysis for senior business unit...HornBill's client, a world class financial services company in NYC is seeking an Executive Director - Head...
with key broker-dealer firms on 529 plan goals and initiatives Manage day-to-day relationships with existing State partners... relationships with Sales, Marketing, Investments, Product, Legal and Operations to drive revenue and client success Strategize...
on securities and investment banking activities with a focus on FINRA and SEC broker dealer requirements. You will engage... in maintaining a strong broker dealer compliance program and assisting the broker dealer in meeting its regulatory obligations. Key...
, you will be instrumental in spearheading our global expansion strategy by establishing and launching broker-dealer operations in new... in broker-dealer/wealth management launches. FINRA Series 7, 24, and 27 licenses (or international equivalents) strongly...
and SEC broker dealer requirements. You will engage with Global Markets and Investment Banking division as well as collaborate... and FINRA regulatory requirements will be essential in maintaining a strong broker dealer compliance program and assisting the...
on securities and investment banking activities with a focus on FINRA and SEC broker dealer requirements. You will engage... in maintaining a strong broker dealer compliance program and assisting the broker dealer in meeting its regulatory obligations. Key...
sales deals for new outsourced broker-dealer client clearing relationships. Serve as the primary senior-level liaison... for broker dealer executives (up to and including C-suite). Navigate client organizations to lead and close complex deal...
to the broker-dealer and registered investment adviser as needed. Advise on new product development and regulatory risk... management decisions. Keep informed on legislation and rulemaking affecting business operations and developments in bank, broker...
, trading operations, or trade support role within a broker-dealer or trading firm. Strong understanding of trade lifecycle..., and operational workflows. Oversee the intake and processing of order flow from traditional broker-dealer correspondents...
experience in a leadership role in similar industries (digital assets, banking, broker-dealer, hedge fund, etc.), with a minimum... FalconX is seeking a highly skilled and motivated Director, Platform Accounting Controller to join our dynamic Global Finance...
broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency..., and provide regular feedback to drive results. Partner with senior leaders, product, sales, and operations teams to coordinate...
control environment Preferred: Certification (e.g. CFA, CPA, CIA) Strong knowledge of bank and broker dealer operations... Director During an assignment, the Lead Auditor may also report to a global supervisor in charge of the assignment Key...
's Most Admired Companies” Top 10 U.S. Independent Broker-Dealer by Financial Planning Magazine Named one of the “50 Best Places... works closely with a Growth and Development Director who is dedicated to their success, providing individualized coaching...