Broker Dealer Resume Samples
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Broker Dealer Resume Samples
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JK
J Kautzer
Justice
Kautzer
25145 Dietrich Plains
Los Angeles
CA
+1 (555) 579 4835
25145 Dietrich Plains
Los Angeles
CA
Phone
p
+1 (555) 579 4835
Experience
Experience
Dallas, TX
Broker Dealer Sales Support Analyst
Dallas, TX
Cormier LLC
Dallas, TX
Broker Dealer Sales Support Analyst
- Make trade corrections and create/send invoices to PFRs, also handle appeals
- Handle death-of-account-owner situations by establishing estate accounts and following proper protocol
- Make changes to customer accounts; including name, address and investment objectives
- Establish bank-lines for customers to quickly facilitate EFTs and wires
- Complete special projects and tasks as assigned by Manager or Senior Leaders
- Update PFR office addresses with external product providers
- Draft letters of indemnity to correct transactions at direct product providers
Philadelphia, PA
Middle Office Broker Dealer Support Specialist
Philadelphia, PA
Wuckert LLC
Philadelphia, PA
Middle Office Broker Dealer Support Specialist
- Work with the Market Unit to obtain as much information as possible about the Broker Dealers book of business
- Effectively coordinate, perform and complete multiple duties and assignments concurrently and in a timely manner
- Participate in departmental projects to improve the current processes and/or systems
- Heavy interaction with internal and external clients, as well as teammates, on the telephone, email and in person in a professional and accurate manner
- Responsible for trending of requests that are received via e-mail or the call support especially around the Client Reporting being requested
- Coordinate and communicate our Broker Dealer Change Process
- Heavy interaction with legal and compliance and third party vendors
present
New York, NY
Broker Dealer New Accounts Senior Associate
New York, NY
Homenick, Krajcik and Schiller
present
New York, NY
Broker Dealer New Accounts Senior Associate
present
- Guides work activities and processes within work unit
- Assists in implementation of new projects and processes within work unit
- Prioritizes workflow according to Service Level Agreements. Meets the established standards for processes
- Develop and update new accounts training and procedures manuals
- May direct and monitor work assignments for team members
- May manage data reports and process documents across departments
- Create and deliver training to new associates
Education
Education
Bachelor’s Degree in Integrity
Bachelor’s Degree in Integrity
University of Oregon
Bachelor’s Degree in Integrity
Skills
Skills
- Ability to perform complex activities requiring knowledge of the Allstate agency business model
- Moderate knowledge of Microsoft applications (Word, Excel, Outlook)
- Excellent verbal communication skills
- Can verify accuracy of work using available computer tools and other resources
- Excellent organizational skills
- Can verify accuracy of work for others in the unit
- Can collect and organize materials
- Can perform somewhat complex accounting activities requiring mathematical skills with some independence
- 3 years experience in the financial services industry
11 Broker Dealer resume templates
Read our complete resume writing guides
1
Cib-ops-broker Dealer Oversite Resume Examples & Samples
- Assist in management of regulatory reporting within CIB Operations. Confirm reporting requirements and attestation of filing completeness and accuracy
- Act as the escalation point for Regulatory issues and coordinate issue resolution
- Partner with operations team leads responsible for Regulatory Reporting creation and reporting across all functional areas within operations
- Develop, coordinate and execute on merger related activities for the program
- Participate in requirements gathering for Regulatory reporting by defining priorities and timelines for each filing
- Coordinate with other support areas to facilitate merger related activities including establishing technology requirements,
- Communicate any issues and address any questions with individual regulatory reporting teams within operations
- Accountable for written and verbal communication of status and issues for presentations to management on Regulatory issues
2
Regional VP, Broker Dealer Resume Examples & Samples
- Generate sales of Guggenheim Investments Mutual Funds and ETFs in the territory
- Own sales performance and goals for territory
- Solidify relationships, generate new business with our broker-dealer clients and manage sales efforts within the defined geographic territory
- Work closely with the Divisional Sales Manager to create and implement a sales strategy
- Business Plan Creation – Segmentation, time management, counterpart collaboration, territory management, etc
- Leverage Technology
- Expense management
- Bachelor’s Degree (preferably in Finance or Business)
- MBA, CIMA, CPWM, CAIA or CFA preferred
- Current FINRA Registrations (Series 7, 63, 65, and/or 66)
- Enhanced problem solving abilities, analytical abilities, and familiarity with investment strategies and concepts
- Excellent oral, written and interpersonal communications skills
- Informed and conversant across a broad range of topics
- Energetic, self-motivated, positive attitude, goal-oriented
- Technical/Computer skills should include experience with Microsoft Word, Power Point and Excel
- Energy, enthusiasm, optimism and an entrepreneurial sprit
3
RVP Central Independent Broker Dealer Resume Examples & Samples
- Develop and maintain business relationships with financial advisor professionals in the sales territory
- Maintain a high level understanding of DB’s wide range of investment products and global investment views
- Market active, passive, and alternative solutions to DB’s most important clients
- Manage and leverage relationships to gain access and referrals within each partner firm
- Work with all of the resources of the Bank including National Account Managers, Internal Sales Consultants [wholesalers], Product Specialists and Portfolio Managers, to deliver the organization
- Provide education, valued add programs, industry knowledge and training to all advisors in their respective footprint
- Series 7/63
- Excellent communication & organizational skills
- Strong analytical skills
- Bachelors degree required
4
VP, National Accounts, Broker Dealer Channel Resume Examples & Samples
- Works closely with home office staff at assigned broker dealers and banks to promote the sale of the Columbia Threadneedle Investment mutual funds and related investment products across multiple client platforms including mutual funds, retirement, 529 and separately managed accounts
- Prepares and presents briefings for both the assigned distributor’s and Columbia Management's senior management
- Works with internal partners to resolve more complex problems/issues
- Minimum of 8 years of experience in financial services, with a minimum of 5 years’ experience with strong Broker Dealer National Account relationships,
- Outstanding knowledge of the intermediary sales channel and strong existing relationships of centers of influence at major wire-house firms are critical
- A demonstrated track record of driving sales, including established credibility with key senior level executives
- A demonstrated aptitude for building and maintaining client relationships
- Excellent communication, follow up & analytical skills. Excellent organizational skills
- Ability to handle multiple-tasks in a fast-paced work environment
- Strong business acumen with a deep understanding of advisor sold products
- A demonstrated track record in developing and implementing strategies to achieve sales results
- Strong interpersonal skills and demonstrated experience building a positive culture through influence
- FINRA registrations include a series 7, 63 (or 65), 66 and 24 required within specified time period
5
Liquidity Risk Oversight Senior Manger Broker Dealer Resume Examples & Samples
- Funding of broker-dealer entities through capital, repurchase agreements, intercompany lines and 3rd party borrowing facilities
- Monitoring and management of margin exchange requirements and unencumbered collateral
- Optimization of collateral deployment to maximize liquidity and provide flexibility in contingent funding sources
- Identify Liquidity Risks and mitigants for the funding desks and utilize as an effective challenge for the multi-year Strategic Plan
- Identify stress level Liquidity Risks and ensure they are being appropriately prioritized and captured within all stress testing
- Review of all Liquidity policies, procedures, the contingent funding plan, Individual Liquidity Adequacy Assessments (ILAA’s), etc. in order to obtain an independent viewpoint of the representation of risk
- Work closely with the frontline team in Global Funding and the reporting and stress testing team within CFO Group to curtail / control the amount of liquidity risk generated by the organization
- Ensure limits are set based on specific analysis of the risk factors or are in line with the Liquidity Stress tests
- Design and execute analysis to develop independent view of the appropriateness of the limits
- Understand business drivers of limit and metric breaches and communicate effectively as part of breach notifications to drive remediation, when necessary, by the Front Line Units
- Review new product approval process and ensure liquidity risk was appropriately considered, including quantitative and qualitative factors and that the risk introduced was in accordance with the Risk Appetite
- Keep abreast of emerging regulatory requirements and provide guidance on the impact of these regulations on the Company’s liquidity risk management program
- This position will not manage the efforts of others at this time
- 10-12 years of Trading/ALM/Balance Sheet Management experience with focus on Funding and Liquidity Management Money Markets
- Risk management expertise primarily in Market or Liquidity Risk
- Basic knowledge /experience of other risks Market, Credit, Reputational, Strategic and their interconnectivity
- Knowledgeable of regulatory environment, risk framework, policies & standards
- Strong business-centric mindset; understands how business decisions impact liquidity risk & its management
- Broadly connects across internal stakeholders such as Global LOB Risk teams, Enterprise Risk, Compliance and Audit to drive execution
- Can articulately paint pictures & visions of possibilities and likelihoods
- Broad communication, negotiation and influencing skills to drive execution; navigates the matrix
- Effectively takes an unpopular stand when necessary; encourages direct and tough debate
- Can anticipate future consequences and trends
6
Broker Dealer Resume Examples & Samples
- Preparation of daily SEA Rule 15c3-3 reserve calculations for both MSCO and MSSB, MS’s 2 primary U.S. BDs
- Document requests re: 15c3-3 related FINRA FinOp examination inquiries
- Preparation/supervision of key 15c3-3 related reconciliations and FOCUS inputs
- Participate in MSCO ISG Customer Asset Protection Governance bi-weekly Working Group meetings
- Strong work ethic and ability to handle multiple tasks concurrently
- Strong communication skills (ability to present technical subject matter in clear, concise way to other stakeholders and escalate within Regulatory Controllers accordingly)
- Ability to work well with other stakeholders across the CAP governance spectrum and build consensus for process changes/improvements
7
Broker Dealer Trade Manager Resume Examples & Samples
- Demonstrated knowledge of basic economic, budgeting, and accounting principles and practices
- Knowledge of the functions, operation and mission of the specific department
- Excellent written and spoken communication skills
- Outstanding customer service ability
- Excellent computer skills in a Microsoft Windows environment
- Evidence of the ability to practice a high level of confidentiality
- Excellent organizational management skills
8
Broker Dealer New Accounts Analyst Resume Examples & Samples
- Document and execute routine processes with minimal supervision
- Promptly respond to customer inquiries
- Understand and communicate policies, procedures, or practices to team members
- Identify process improvement opportunities, determine solution and implement best practice
- Communicate field issues to management
- Ensure that team goals are met; including standards for quality, service-level agreements and utilization
- Demonstrate knowledge regarding SEC and FINRA rules and regulations in order to correctly respond to inquiries regarding them
- Maintain accurate books and records
- Ensure proper policies and procedures are being followed by team members
- Identify, create and deliver new and on-going product and procedural training
- Promote and foster team collaboration to provide customers and representative outstanding service
- Complete special projects and tasks as assigned
- FINRA Series 6 and 26 Licenses required
- High level understanding of department processes
- 3 years experience in the financial services industry
- Ability to perform complex activities requiring knowledge of the Allstate agency business model
- Ability to motivate and provide expert-level assistance to individuals
- Knowledge of securities industry; including books and records, rules and regulations, product types and market trading functionality
- Moderate experience with Microsoft Applications (Word, Excel, Outlook)
- Moderate project management and presentation skills
9
Regional Director, Broker Dealer Resume Examples & Samples
- Sales leadership and management of a territory composed primarily of fee-only, high net worth financial advisors
- Develops and delivers strategies to recruit new advisor relationships and retention strategies for existing advisors
- Educates advisors on capital market behavior and investment theory
- Consults with advisor firms on building an efficient practice while providing a successful investment experience to clients
- Presents Dimensional Fund Advisors’ investment capabilities, investment theory and performance to Financial Advisors, branch offices, company conferences and industry functions
- Formulates and executes tailored Dimensional initiatives and champions existing company initiatives
- Be a team-player and sales and marketing thought leader within the Dimensional team
- Be a spokesperson and champion of the Dimensional brand and investment theory throughout the industry and marketplace
- Increase revenues, AUM and Advisor clients within the territory through the profitable growth of the Dimensional product suite
- A personal alignment, understanding and appreciation of Dimensional's investment process, philosophy and business strategy
- Strong consultative sales abilities in building Advisor relationships and raising assets
- Extensive knowledge and network of fee-based Financial Advisors who may share a similar investment philosophy to Dimensional or with enough intellectual curiosity to want to learn more about it
- An entrepreneurial spirit with high energy and passion; a self-starter
- Must have 10+ years of experience in the Financial Services Industry
- Bachelor’s Degree required; MBA or CFA strongly preferred
- Excellent written and verbal communication skills, particularly with regards to conveying technical investment approaches and key Dimensional selling points in a clear and compelling manner
- Ability to present Dimensional’s products and philosophy to small and large groups
- Competitive but highly collaborative with the ability to work both independently and in a team environment
- Must be Series 7 licensed
10
Supervisory Principal Capital Markets Broker Dealer Resume Examples & Samples
- Relevant 5-7 years of experience in financial industry; compliance experience helpful, but not required
- FINRA Series 9/10, 7, 66 (63/65) Licenses (Series 3 within 60 days of hire)
- Knowledge of Investment Products including Listed, FX, Structured Products & OTC Derivatives
- Solid knowledge of Bank and broker-dealer business, regulatory requirements and related policy
- Experience in integrating and balancing diverse priorities
- Strong networking, influencing and negotiating skills
- Proactive and Resourceful
- Excellent communication skills (oral and written) in English. Spanish and/or Portuguese a plus
- Travel - <5%
11
Mail Imaging Associate, Broker Dealer Resume Examples & Samples
- Monitors and verifies quality
- Record and update information on appropriate entry screens
- Verify daily input/output as assigned and clear or inform supervisor of records requiring special handling
- Organize complex documents/records to enable them to process through the system
- Assist in creating job aids
- Understands and achieves quality and timeliness expectations within specific areas of responsibility
- Performs peer spot-checks as needed
- Identifies quality issues, takes necessary action or escalates to appropriate individual
- Assist with outgoing mail processes as needed
- Ability to collect and organize materials
- High level of attention to detail. Specifically with accuracy of work using available computer tools and other resources
- Must enjoy a team environment and be a team player. Specifically demonstrating the ability to verify accuracy of work for others in the unit
- Moderate knowledge of Microsoft Applications (Word, Excel, Outlook)
12
Broker Dealer New Accounts Associate Resume Examples & Samples
- Keyboarding skills
- Experience in the financial services industry preferred
- Verify accuracy of work using available computer tools and other resources
- Moderate knowledge of Microsoft applications (Word, Excel, Outlook)
- Moderate verbal and written communication skills
- Ability to work overtime on short notice
13
Broker Dealer Sales Support Analyst Resume Examples & Samples
- FINRA Series 7 and 63 (where applicable) required or the ability to acquire in the timeframe set forth by the Allstate Broker Dealer
- Excellent verbal communication skills, outstanding customer service ability
- Computer experience; including electronic correspondence, word documents, spreadsheets, databases
- Ability to work independently and as a team in making decisions in-line with organizational goals and expectations
- Bachelor’s degree or related industry experience preferred
14
Allstate Financial Services LLC Broker Dealer Trade Manager Resume Examples & Samples
- FINRA Series 7, 24, and 63 required or the ability to acquire in the timeframe set forth by the Allstate Broker Dealer
- 2-4 years of equivalent work experience in business, supervision, and management
- Management experience in a team-oriented workplace, preferred
15
Broker Dealer Quality Verification Associate Resume Examples & Samples
- Support quality and compliance guidelines by providing quality verification support for all processes/units with a high degree of accuracy
- Review systems, images, and paperwork to accurately quality check items processed
- Continuously review and analyze current processes for opportunities of efficiency and/or cost savings
- Improve consistency by creating and updating checklists
- Identify error trends and training needs of employees
- Design and deliver effective Broker-Dealer industry training, systems training and some job training
- Perform operations processing functions when necessary
- Participate in projects, as assigned
- High School diploma with some college preferred
- Requires ability to analyze and research information
- Requires a basic understanding of products/services/systems used in all units within AFS, LLC
- Requires proficiency in Microsoft Office applications
- Requires advanced oral and written communication skills
- Requires ability to maintain a high level of confidentiality
- Requires ability to work independently, manage time appropriately, and utilize decision making skills
16
Middle Office Broker Dealer Support Specialist Resume Examples & Samples
- Heavy interaction with internal and external clients, as well as teammates, on the telephone, email and in person in a professional and accurate manner
- Heavy interaction with legal and compliance and third party vendors
- Responsible for building out and maintaining Broker Dealer procedures
- Elevated support, meaning 1st level technical support/analysis
- Work with the Market Unit to obtain as much information as possible about the Broker Dealers book of business
- Coordinate and communicate our Broker Dealer Change Process
- Responsible for trending of requests that are received via e-mail or the call support especially around the Client Reporting being requested
- Educate the client and assist them in implementing the best possible practices to more effectively use Middle Office products and services to meet their business needs
- Participate in departmental projects to improve the current processes and/or systems
- Maintain the highest level of confidentiality, quality and privacy
- Participate in Onsite Broker Dealer Due Diligence Meetings
- Ability to build custom reports from TrustQuery and Microsoft Access
17
CIB Ops-broker Dealer Operations Manager Resume Examples & Samples
- Key member in a growing team environment that focuses on consistency and fungibility
- Coordinate day to day activities
- Development of specialist team members
- Develop tracking tools and new metrics to enhance the monitoring of operational health
- Management experience, preferably within the Financial Industry and Operations--3-5 years experience managing preferred
- Organizational skills
- MS Office skills—must be at least intermediate level of excel user
18
Broker Dealer Reg Rptg Resume Examples & Samples
- Prepare and analyze the daily & monthly computations of net capital pursuant to SEC Rule 15c3-1/CSE
- Prepare haircuts or other regulatory capital deduction schedules to support the computation of net capital
- Prepare and analyze reports filed with the SEC, FINRA and other regulatory agencies
- Manage the monthly Data Attestation process for MS&CO and MSSB, including the following
- Follow up with providers for delinquent information
- Ensure that attestation has been properly performed and respective documents were uploaded to the site
- Assist in answering/resolving any issues that arise each month
- Prepare a monthly analysis for Upper Management regarding the current month's results
- Assist in any issues that arise from the new Financial Responsibility Rules, including documenting controls and creation of policies and procedures for controls
- Assist in test work regarding the automation for swap dealers within Aqua as well as assist in creation of new procedures for the new regulated entities
- Address questions from Business Unit Controllers, regulators and other members of the firm
19
CIB Securities Operations Broker Dealer Oversight & Control BPS Project Platform Specialist VP Resume Examples & Samples
- Lead the CIB Securities Operations deliverables from initiation through end of cycle reporting
- Assess, develop, coordinate and execute the implementation of the core processing platform
- Hire and develop a qualified team including coaching and mentoring
- Establish the system’s ability to comply with regulatory reporting requirements
- Coordinate with other support areas to facilitate platform implementation including establishing technology requirements, reviewing and interpreting regulatory rules, ensuring there is a robust control infrastructure, communicating any issues and addressing any questions
- Act as the escalation point for and coordinate issue resolution
- Partner with staff across all lines of business
- Accountable for written and verbal communication of status and issues for presentations to senior management and multiple steering committees
20
Broker Dealer Field Operations Manager Resume Examples & Samples
- 5+ years of increasing financial and distribution management experience in Financial Services that directly aligns with the specific responsibilities for this position; including 2+ years of managerial, supervisory, and/or demonstrated leadership experience
- Strong verbal and written communication skills required
- Superior inter-personal skills and decision making judgment
- Team building and problem solving skills
- Knowledge of various functional areas of insurance including customer services, underwriting/new business, producer compensation, investment back office, finance and regulatory compliance
21
Broker / Dealer Operations Coordinator Resume Examples & Samples
- Executing new account establishment across the various Brokerage product offerings as submitted by Financial Advisors and/or their clients
- Executing Financial Advisor and/or client instructions related to the movement of assets, both incoming and outgoing. This includes sending/receiving assets via check, ACH, wire, journal, or account transfer
- Working closely with internal and external financial professionals to research/resolve brokerage services related items, which occurs both face-to-face and over the phone
- Establishing online system access for financial advisors and clients related to their accounts
- Other duties as assigned based on aptitude and business need
- Attention to detail, with ability to analyze, problem solve, and make determinations on direction of tasks
- Strong organization skills with ability to create/retain documentation related to the direction of tasks
- Outstanding written and verbal communication skills, with ability to explain detailed and complex situations with clarity
- Ability to build strong relationships with peers and financial professionals
- Desire to pursue FINRA registrations. Series 7 offered to candidate. Existing FINRA registrations a plus
- Financial Services experience not required. Previous insurance company and/or broker/dealer experience a plus
22
Broker Dealer Advisory Coordinator Resume Examples & Samples
- Advisory Fee billing processing, reconciliation and QA
- Advisory Billing maintenance including; adding, updating and maintaining Fee Schedules, Billing Households, Calculation Rules and Procedures
- Advisory Account maintenance
- Series 7 License preferred
- Working knowledge of Advisory accounts
- Working knowledge of NetX360, FolioDynamix and/or Bonaire is plus
- High attention to detail with high accuracy in processing required
- Able to work in a fast paced environment
- Excellent customer service attitude and skills required
- Two years plus related experience
- Customer Focused: Passionate drive to delight our customers and offer unique solutions that deliver on their expectations
23
Broker Dealer Operations Coordinator Resume Examples & Samples
- Working with sales representatives and internal business partners to resolve NIGO issues
- Fielding inbound calls from Voya Sales Representatives and Clients
- Building new accounts
- Granting systems access
- Outstanding written and verbal communication skills, including over the phone. Previous phone experience a plus
- Series 7 & 63 expected within 4 months of hire
- Ability to build strong relationships
- Operational experience within a broker-dealer preferred
- Experience working with brokerage platforms. (Experience working with Pershing / NetX360 preferred.)
- Excellent problem solving skills
- Bachelors Degree or equivalent
24
Broker Dealer Senior Compensation Consultant Resume Examples & Samples
- Trains/coaches team members or peers
- Ensure DOL requirements are satisfied on all retirement sales prior to authorizing compensation
- A minimum of 2-4 years of Financial Analysis experience in an Insurance Company or Financial Services organization
- FINRA Series 7 required; Series 27 preferred (or the ability to obtain licenses in required time frame)
- Intermediate business knowledge (i.e.; deep financial skills/flow of the numbers)
- Solid work ethic, including ability to follow-up, focus on details and take initiative
- Intermediate Microsoft Excel skills required. Working knowledge of Power Point and Word
- BA or BS in Finance, Accounting, Economics, Mathematics, Business or related area of study
25
Broker Dealer Compensation Consultant Resume Examples & Samples
- Reconcile daily exception reports to ensure transactions meet FINRA requirements for compliant retirement sales such as proper jurisdiction, licensing, etc
- Ensure DOL requirements are satisfied on all retirement sales
- 2-4 years of Financial Analysis experience in an Insurance Company or Financial Services organization preferred
- FINRA Series 6 required and Series 26 strongly preferred (or the ability to obtain within 90 days of employment)
- Working knowledge of financial and accounting concepts
- Intermediate analytical and financial model building skills
- Intellectual curiosity and drive for continuous improvement - personally and with work assignments
- Strong oral and written communication skills, able to work effectively with employees both internal and external to the finance function
- Strong interpersonal skills to work effectively in a team environment
- Effective time management and organization skills with a proven ability to multi-task
26
Broker Dealer Operations Possession Resume Examples & Samples
- Review and auctioning control reports
- Interfacing with various operations teams regarding segregation issues
- Documentation of daily tasks as required by regulators
- Management reporting
- Ad hoc requests
- Critical thinking ability; can understand all information available, tie it together, speak to it clearly and concisely
- Understanding a broker dealer back office operations
- Ability to read a stock record and draw conclusions on activities
- Flexible and adaptive; demonstrated ability to work in a fast paced environment
- Excellent judgment; knows when to escalate issues to management
- Ability to build appropriate relationships with partners across business lines
- Strategic thinker with ability to execute; can understand all information available, tie it together, speak to it clearly and concisely
27
Broker Dealer Suitability Consultant Resume Examples & Samples
- Review security transactions to determine client suitability utilizing firm documents and defined parameters. Approve all trades and transactions as a Principal of the Firm
- Communicate via phone or e-mail with registered representatives suitability concerns or to discuss the rationale behind the transaction to help aid in suitability review. If a transaction is questionable, must be able to discuss with the Registered Representative alternative investment strategies that may be more suitable to the customers' needs
- Educate registered representatives on paperwork procedures, product knowledge and suitability documentation. May be required to present to large audiences
- Knowledge of different account registration types, i.e., 403(b), IRA, Roth IRA, joint tenants, 401(k), UGMA/UTMA, 529 Plans, etc
- Knowledge of FINRA supervisory rules and obligations
- Approve or reject applications based on analysis of information provided; requires good independent judgment based on product knowledge, company guidelines, and securities regulation. Document decisions made in the file for FINRA or auditing purposes
- Contact agents via phone or written correspondence if trade is being rejected. Must have the ability to do this in an informative and non-threatening manner
- Communicate with Sales Managers and Field Compliance Officers on any questionable transactions involving a Registered Representative. Notify Sales Managers if a Registered Representative requires additional product education
- Knowledge of FINRA/SEC/DOL regulations, and the ability to adapt to an ever changing regulatory environment
- Knowledge of and ability to recognize FINRA violations such as churning, breakpoint sales, and switching. Must also have the ability to discuss with Registered Representatives/Sales Management/Compliance Officers effectively in relation to these issues
- Advanced level knowledge of all investment products: mutual funds, variable annuities, fixed indexed annuities, fixed annuities, registered annuities, variable life, stocks, bonds, unit investment trusts and 529 plans. Requires continuous education of these complex products
- Strong analytical skills – Must be able to understand and analyze the customer’s personal information: risk tolerance, age, liquidity needs, Investment experience, tax status, time horizon, investment objectives, financial situation, and other holdings
- FINRA Series 6, 26, and 51 (or 7, 24 & 53) required or the ability to acquire in the timeframe set forth by the Allstate Broker Dealer
- Strong understanding of core business processes
- Requires 3-5 years of financial services experience, prefers sales or suitability analysis experience
- High school diploma required; College degree preferred
28
Broker Dealer Sales Support Analyst Resume Examples & Samples
- Handle pre and post-sale calls and requests from customers and PFRs on brokerage accounts and all direct mutual fund, annuity and variable life insurance accounts; providing outstanding service to increase asset sales and retention in-line with organizational goals
- Place trades on mutual funds, stocks, UITs and bonds for customers and PFRs
- Ensure compliance with FINRA books and records requirements, respond to internal and regulatory audit requests and update procedures, as necessary
- Establish bank-lines for customers to quickly facilitate EFTs and wires
- Process IRA one-time and non-qualified distributions
- Educate PFRs and customer on paperwork requirements for new account openings and on-going servicing
- Handle death-of-account-owner situations by establishing estate accounts and following proper protocol
- Facilitate PIP and SWP instructions and monitor them going forward
- Make trade corrections and create/send invoices to PFRs, also handle appeals
- Draft letters of indemnity to correct transactions at direct product providers
- Promote the use of available technology, including Wealthscape and myWealthscape
- Update PFR office addresses with external product providers
- Handle margin call notifications
- Verify that proper breakpoint charges were given on mutual fund sales and correct trades, if necessary
- Ensure accurate rules are followed in regards to mutual fund swaps, switches and reinstatements
- Notify reps of re-org notifications, municipal bond notices, warrants/rights offerings and tender offers
- Sell-out security positions to satisfy debit balances, clean-up low value brokerage accounts
- Obtain proper requirements to make sure beneficiary designations are approved
- Make changes to customer accounts; including name, address and investment objectives
- Handle jurisdiction, licensing and proper state registration assignments
- Complete special projects and tasks as assigned by Manager or Senior Leaders
- FINRA Series 7 and 63 required or the ability to acquire in the timeframe set forth by AFS, LLC
- Knowledge of securities industry, including books and records, rules and regulations, product types and market trading functionality
- Regular, predictable attendance is an essential function of this job
29
Broker Dealer New Accounts Associate Resume Examples & Samples
- Review new account applications for completeness and adherence to company policies and federal regulatory guidelines
- Accurate data entry of customer and transaction information into broker dealer back office system
- Process change of broker dealer requests with product providers and set up the accounts into the back office system
- Deposit customer funds into brokerage accounts and accurately process the transactions
- Process new business according to Service Level Agreements. Meets the established standards for processes
- Conduct effective communication with registered representatives to clarify or complete account information
- Focuses on the customer while investigating complex situations, identifying problems, and following through to resolution
- Contact mutual fund companies for new account policies and procedures
- Process all new accounts the same day received. Overtime may be necessary
30
Broker Dealer New Accounts Senior Associate Resume Examples & Samples
- Set up and maintain accounts
- Review new account applications for completeness and adherence to company policies and federal regulatory guidelines
- Identify accounts requiring a priority suitability review
- Accurate data entry of customer and transaction information into broker dealer back office system
- Conduct effective communication with registered representatives to clarify or complete account information
- Contact mutual fund companies for new account policies and procedures
- Process all new accounts the same day received. Overtime may be necessary
- High School diploma with some college preferred
- 3 years experience in the financial services industry
- FINRA Series 6 preferred
- Keyboarding skills; minimum speed of 90 KPM
- Can perform somewhat complex accounting activities requiring mathematical skills with some independence
- Can collect and organize materials
- Can verify accuracy of work using available computer tools and other resources
- Can verify accuracy of work for others in the unit
- Ability to perform complex activities requiring knowledge of the Allstate agency business model
- Moderate knowledge of Microsoft applications (Word, Excel, Outlook)
- Excellent verbal communication skills
- Excellent organizational skills
31
Director of Broker Dealer Operations Resume Examples & Samples
- Leading Thrivent Independent organization in the identification and development of necessary business reviews, strategic planning, risk assessments and business cadences/disciplines
- As a key stake holder and member of the TI Senior Leadership team you will act as the primary liaison and key contact across multiple strategic partner organizations simultaneously to gather/present insights that inform overall strategic decisions for new business operations , technology, and ongoing service model development
- Operating as the Key contact and primary operations relationship manager for all broker dealers, BGA’s, IMO’s, RIA, individual agents
- Design, plan, organize, control and evaluate multi/cross-organizational projects from concept through implementation of a solution incorporating multiple strategic business partner’s organizations
- Working with key stakeholders and leadership across multiple organizations, build, direct, decision and manage multiple projects simultaneously to ensure timely delivery of objectives and build/implement new services, products and business models that do not exist today and are necessary to support them
- Facilitate necessary change management working with multiple business partners across several strategic partners and within the organization
- Negotiate with business partners within and outside the division/organization for resources necessary to execute on the deliverable defined. Ensure projects and programs are appropriately staffed and managed; and stakeholders are defined, objectives clear and anticipated results delivered
- Accountable for working with procurement on securing and facilitating the negotiation of sizeable strategic partner and vendor contracts to build capabilities on new systems/platforms
- Procure, assemble and manage multi-organizational project teams, including BGAs, TPAs, TFL and other vendors for delivery of overall TI objectives
- Responsible for the implementation of new capabilities, products, processes, systems and controls from concept through all stages of implementation as well as throughout the lifecycle of those capabilities
- Bachelor’s degree in Business, IT, or a related field. Advanced degree preferred
- Demonstrated ability to influence others, drive results through others and build highly effective relationships across multiple and within multiple organizations
- Effective change management skills
- Very solid business and financial services acumen
- Business domain knowledge or passion to develop solid foundation in business area of leadership. Able to demonstrate track record of quantifiable business results
- Able to understand and lead others in the application of business strategy frameworks and measurement systems. Experience in executing strategic plans and interpreting them into business cases and work plans both within the organization and across multiple strategic partner organizations
- 5+ years’ experience managing multiple projects from a business perspective, in a senior manager business role. Experience leading projects with a significant technology component required. PMI Project Management Professional (PMP) designation from the Project Management Institute (PMI) preferred
- Working knowledge of project management methodologies. Demonstrated proficiency in implementing such methodologies in a business setting. Proficiency using automated planning/scheduling tools (eg. MS Project) preferred
- Credibility; proven ability in a leadership position
- Continuous improvement experience, i.e. Lean Six Sigma Green Belt or Black belt
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Cib-credit Risk Market Infrastructure & Broker Dealer Risk Analyst Resume Examples & Samples
- Manage Market Infrastructure and Broker Dealer clients supporting the Credit Officer in the daily credit risk management of the portfolio
- Coordinate team activity by organizing and leading client due diligence meetings and actively contributing to transaction structuring/execution and negotiation of documentation
- Take a lead role on plain vanilla transactions and work alongside senior Credit Officer on more complex transactions
- Lead the initial due diligence and the onboarding process of prospective clients
- Serve as credit expert for a portfolio of clients by completing credit analysis, Risk Review, stress tests and ad-hoc projects
- Be a responsive and constructive partner for colleagues in the business (including client coverage bankers, corporate bankers, traders)
- Maintain primary responsibility for the management of the on-going credit relationship by assigning internal rating and recommending credit appetite
- Maintain a detailed and forward looking knowledge of developments in regulatory frameworks, client rule books and market trends across EMEA
- Work closely with NA/LATAM/APAC counterparts to maintain a consistent global coverage model
- Responsible for a diligent management of team metrics
- Coach and develop less experienced Team members
- Strong credit skills. The candidate has to be able to lead in depth due diligence, co-ordinate and produce credit memos which will be the basis on which credit decisions are made, articulate a credit view and make credit recommendations to senior Credit Officers
- Knowledge of the Clearing industry, Clearinghouses and the Clearing product offering is a strong positive
- An understanding and appreciation of the dynamics of regulatory reform (EMIR etc)
- A good knowledge of derivative and banking products and associated documentation (ISDA/CSA/GMRA)
- Strong interpersonal and communication skills. Be able to establish credibility and trust with clients, product specialists and Credit Officers, and to partner with them effectively
- High level of intellectual curiosity
33
VP, Broker Dealer Operations Resume Examples & Samples
- Series 7, 24 must be current. Obtain Series 4 (Senior Registered Options Principal) license within first three months. Prefer a Series 65 (or 66) and 53
- Superior project management skills and experience, including ability to negotiate and meet deadlines in a quickly changing environment to achieve corporate goals
- Solid understanding of trading rules and regulations for equities, fixed income and mutual funds
- Ability to guide and mentor staff
- Strong people skills to successfully manage relationships across the firm
- Requires 15+ years of financial industry-related experience
- Significant experience with Broker/Dealers back office operations Pershing a plus
- Experience with process analysis and writing procedures
- Experience with brokerage firm computer systems (Pershing preferred but others may suffice)
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Broker Dealer Financial Supervision & Control Resume Examples & Samples
- Approximately 10-12 years of experience working as an external auditor, or financial controller in the financial sector
- Good knowledge of audit techniques (risk approach, substantive testing, high view analysis…)
- High knowledge of accounting schemes and treatment of financial products, and their impacts on PNL, balance sheet and off balance sheet. Be able to differentiate French, U.S. and IFRS treatments on those products is a plus
- Knowledge of U.S. Broker Dealer rules and regulations (15c3-1, 15c3-3, Customer Statements, Security Count)
- Significant experience in having applied relevant technical knowledge in at least one of the following engagements: (a) financial statement audits; (b) internal or operational audits; (c) SOX engagements
- Advanced written and verbal communication skills and presentation skills
- Excellent leadership, teamwork and client service skills
- Demonstrated integrity within a professional environment
- Ability to supervise
- Bachelors degree in accounting, finance, computer science, information systems, engineering, or a related discipline
- Advanced degree a plus
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Cib-treasury Services NA Banks & Broker Dealer Resume Examples & Samples
- Proven leader with a minimum of 10 years in the financial services industry with people management and client management experience
- Significant understanding of Treasury Services technology and operations delivery platforms
- In depth knowledge of Treasury Management Products and how our clients use them
- Earned reputation as a successful talent manager who is able to recruit, lead, motivate, develop and retain talent
- Passion for delivering an exceptional client experience and making it easier for clients to do business with us
- Strong analytical skills and problem solving abilities. Ability to navigate complexity, ambiguity and act with a sense of urgency
- Track record of driving change through influence, building relationships and exhibiting clear and transparent communication
- Exceptional communication and presentation skills with the ability to convey complex issues clearly and persuade various audiences (written and verbal)
- Detail oriented and follows through on commitments. Creative thinker and problem solver
- Informed on operational and regulatory risk and compliance implications; demonstrates sound judgment
- Maintains focus and professionalism while managing competing priorities
- Excellent interpersonal skills and able to influence at all levels
- Proficient in Microsoft Office Suite
- College Degree – MBA or comparable graduate degree preferred
- Ability to be flexible with working hours as business needs arise
- Travel ~ 25%
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Broker / Dealer Operations Specialist Resume Examples & Samples
- Monitors project timelines and escalate issues to management as needed
- Compiles and analyzes daily, monthly and quarterly reports
- May host presentations and training sessions
- Acts as system administrator for Operations department including updating internal department website, coordinating new software releases and maintaining disaster recovery plan
- Maintains client financial advisor status including reassignment of accounts, transfer of business and clients with no current advisor
- Reviews and reconciles clearing firm accounts as appropriate
- Ability to interpret policies, procedures and computer applications related to the Operations department
- Ability to prioritize, handle multiple tasks and meet deadlines
- Ability to understand fundamental concepts, practices and procedures of Operations
- Ability to interpret, explain and communicate complex issues and requests
- Solid knowledge of trading, equity markets and regulatory requirements
- Solid knowledge of financial services industry
- Ability to establish and maintain effective client relationships
- Ability to develop knowledge of clearinghouse services
- Requires strong detail orientation and organization skills
- Strong communication and customer service skills
- Strong PC skills (MS Word, Excel, Outlook and other relevant applications)
- High school diploma or equivalent required, bachelor's degree preferred
- 3 - 5 years experience
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Regional Broker Dealer External Wholesaler Resume Examples & Samples
- Work closely with the Divisional Vice President to develop an appropriate business plan to maximize territorial sales
- Identify and develop top producing brokers. Recruit new brokers and strengthen relationships with existing producing brokers
- Conduct product and sales training through individual and group training sessions, seminars, workshops and branch meetings
- Strategically plan and manage the deployment of resources to maximize territorial sales while being responsible for budgeting and expenses
- Work in conjunction with an Internal Wholesaler to identify and foster leads generated from referrals, ad campaigns and territory canvassing
- Utilize Jackson databases to create and maintain broker profile levels and data on current and proposed sales activity
- Must have at least two years external wholesaling experience, preferably with annuities
- Strong ability to work independently and to communicate clearly and concisely. Ability to create and deliver effective presentations, seminars, workshops and branch meetings to current and prospective brokers
- Previous experience with regional and wirehouse wholesaling preferred
- Thorough knowledge of sales and marketing principles and practices. Expected to maintain knowledge of existing Jackson products, new or enhanced Jackson products, and new and existing Jackson marketing campaigns
- Experience in marketing investments, annuities, and life insurance to agents/brokers. Ability to identify and position the products and services brokers use in financial planning
- Proven ability in growing a territory as measured by sales and persistency of business
- Strong aptitude for technology, including software applications, e-mail and database management from remote locations
- Extensive travel required. Some overnight travel required. Minimum of four days per week in the field conducting presentations, seminars, workshops and branch meetings required
- 4-year college degree required
- Prior insurance or investment wholesaling experience is preferred
- Minimum of three years of sales experience in investments, mutual funds, insurance or annuities required. Five years experience preferred
- FINRA Series 6 and 63 required
- Current state life insurance license preferred
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CIB Broker Dealer Operations Resume Examples & Samples
- Support the firm’s Corporate Location Strategy
- Help implement new strategic tools across the Broker Dealer organization
- Develop capacity models and budgets as needed
- Oversee executive management’s Culture & Conduct initiatives across the organization
- Partner with operations teams across the Broker Dealer Organization to implement strategic tools and robotics
- Advanced MS Excel, PowerPoint skills desired
- Ability to analyze process and procedures, document control weaknesses or inefficiencies and propose recommendation to remediate control/efficiency gap
- Experience in a work environment which required attention to detail and adherence to specific rules and standards required
- At least two years' banking and or operations experience
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Hedge Fund & Broker Dealer Sales Specialist Resume Examples & Samples
- Bachelor’s Degree Required or equivalent experience
- Desired minimum of 3 years direct sales experience with a proven record of accomplishment
- Superior communication and time management skills with the ability to handle multiple detail-oriented projects
- Strong sales closing skills
- Strong analytical and quantitative skills
- Understanding of the global equity and fixed income markets
- Thorough understanding of the investment management process
- Someone who enjoys intellectual and analytical challenges
40
Broker Dealer Specialist Resume Examples & Samples
- BA degree or equivalent
- FINRA Series 7 license strongly preferred. Series 7 required within 60 days of hire
- Experience in financial services industry and / or broker-dealers preferred. Working knowledge of DOL rules a plus
41
Manager, Broker Dealer, Risk Advisory Resume Examples & Samples
- Lead consulting staff in various broker-dealer initiatives that address risk, accounting, operational and regulatory topics
- Lead Regulatory Reporting projects pertaining to customer reserve (15c3-3) and net capital (15c3-1) computations, FOCUS Reports, monitoring/projection of capital, and other regulatory filings
- Ability to effectively communicate with client management on topics regarding broker/dealer regulatory reporting
- Lean / Manage multiple project/reporting teams and troubleshoot daily issues
- Liaison with various internal (i.e. trading, legal and operations) and external constituencies as needed
- Exercises independent thinking skills by making decisions related to engagements to include dynamic problem solving, risk assessment, quality control, and data and information evaluation
- Review/evaluate existing processes for efficiency and effectiveness
- Serves as a key client contact by planning, coordinating, and executing cross-functional risk management projects
- Coordinates with Manager, Director, or Partner on all phases of the engagement, including execution of the project deliverables, communications with the project team, staffing requirements, job planning, and scheduling
- Participates in managing relationship with client-side project members to facilitate project fulfillment
- Continually evaluates project resource requirements delivery to ensure efficient resource allocation, communication, and execution
- Promptly brings to the attention of the Manager, Director or Partner any issues or questions that could potentially result in alterations to the project parameters, costs or deadlines
- Identifies further areas of value-add to create opportunities for future projects
- Knowledge of FRB regulations related to capital, liquidity, stress testing and resolution planning preferred
- Proficient verbal and written English communication skills; ability to communicate effectively
- Human relations skills to deal effectively with visitors, clients, staff, and/or co-workers in a professional manner
- Professional demeanor towards duties and responsibilities, particularly with regard to independence, professional ethics, and the exercise of professional judgment
- Strong organizational, time management and interpersonal skills with the ability to perform multiple tasks concurrently with ease and professionalism
- BA or BS in Business, Accounting, or related field, Master’s Degree preferred
- 6+ years of broker-dealer experience required
- 6+ years of professional level project management, reporting, and financial services experience required
- 4+ years of professional level management experience required
- Knowledge of SEC broker-dealer regulations required
- Strong Rule 15c3-1 and 15c3-3 knowledge required
- Series 27 designation preferred
- Relevant certifications (CPA, PMP, CISA, CFE) preferred
- Willingness to travel required
- Thorough knowledge of accounting principles, practices, and procedures on manual and automated systems preferred
- Thorough working knowledge of MS Office: Word, Excel, PowerPoint, and Outlook preferred
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Broker Dealer Separation Oversight Manager H Resume Examples & Samples
- Knowledge of the GWIM and/or GBAM business
- Strong written/verbal communication
- High level of motivation, commitment and professional work ethic
- Ability to negotiate and influence effectively across varying levels
- Excellent time management/organizational skills
- Excellent problem solving skills and sound judgment
- Displays a positive commitment to being client focused, proactive, and teamwork oriented
- Must be comfortable in an environment with a heavy focus on details and accuracy. Attention to detail is critical for success
- Proficient PC skills and applied experience with MS Word, Excel and PowerPoint
