Broker Dealer Jobs in Cleveland
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Search Results - Broker Dealer Jobs in Cleveland
The Charles Schwab Corporation-Cleveland
constructive business partnership
Key requirements
• Active FINRA Series 7, 9/10, and 66 registrations or equivalent
• 5+ years supervising personnel or conducting supervisory reviews in a registered investment adviser, broker-dealer, or related environment...
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Matasar Jacobs LLC-Cleveland
Matasar Jacobs LLC is BigLaw spinoff litigation boutique focused on representing securities broker/dealer firms, Registered Investment Advisers, and other actors in the retail financial services industry in litigation, enforcement defense...
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The Charles Schwab Corporation-Cleveland
considerations, driving improvements across QA practices. You’ll partner with audit teams to strengthen methodology, testing, and root-cause remediation in broker-dealer environments. This is a hands-on leadership position shaping audit quality and effectiveness...
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Cleveland
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
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icims.com -
Robert Half-Cleveland
regulatory exposure while enabling growth
Key requirements
• Active FINRA registrations: Series 24, Series 7, and Series 63/65/66
• Broker-dealer or wealth management compliance experience focused on advisor communications and social media supervision under...
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Fidelity Investments-Cleveland
drive improvements in processes and controls, with an onsite working model in transition.
Responsibilities
• Process trade confirmations and lifecycle events for derivatives trading
• Execute daily margin calls and settle collateral with broker-dealers...
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The Charles Schwab Corporation-Cleveland
experience
• Strong interpersonal and management skills with cross-functional collaboration
• Ability to balance multiple changing priorities
• Knowledge of project management methods (waterfall and Agile)
• Knowledge of Securities Finance industry and broker...
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KForce-Cleveland
roles in the financial industry (preferably in the RIA space)
• Approximately 10-20% travel for client onboarding, leadership meetings, planning, and industry events
• Success in navigating complex RIA, broker-dealer, custodial, and technology...
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Fidelity Investments-Cleveland
with broker-dealers and custodians
• Provide reporting to internal and external partners
• Escalate high-risk items to minimize potential losses
• Support development and review of departmental policies and procedures
• Test and automate processes...
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The Charles Schwab Corporation-Cleveland
in broker-dealer and/or investment advisor supervision with direct supervisory experience
• FINRA Series 7, 66, and 9/10 (required)
• Experience supervising activity under Reg BI and other retail investor protection requirements
• Ability to review complex...
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