- Foresters Financial Services (Westbury, NY)
- …Financial Group(R) ("Cetera") is a leading network of independent retail broker -dealers empowering the delivery of objective financial advice to individuals, ... families and company retirement plans across the country through trusted financial...and institutions-based advisors the benefits of a large, established broker -dealer and registered investment adviser, while serving advisors and… more
- Coinbase (Albany, NY)
- …someone who will run towards, not away from, solving the company 's hardest problems. Our [work culture](https://www.coinbase.com/mission) is intense and isn't for ... remote-only. In-person participation is required throughout the year. Team and company -wide offsites are held multiple times annually to foster collaboration,… more
- Guardian Life (New York, NY)
- Guided by our company Purpose of "Inspiring well-being for our colleagues, consumers, and communities," we are committed to building a best-in-class Law Department. ... standards impacting Guardian's retail wealth management business, including its affiliated broker -dealer and investment adviser entities. + Assist with the Firm's… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and ... Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group...various groups and the data office at the holding company to report data and manage issues. Take ownership… more
- TD Bank (New York, NY)
- …Compliance Business Oversight Manager will:** + **Ensure ongoing compliance with the Investment Company Act of 1940, FINRA, SEC rules, and other applicable state and ... a plus.** + **Knowledge of current and emerging trends, including broker -dealer and RIA regulatory expectations and standards for effective compliance management… more
- CBRE (Albany, NY)
- …of products, including land, office, retail and industrial. + Coordinate field broker selection and required resources. Facilitate client review and approval of ... initiation, requests for proposals, proposal comparison packages, letters of intent, and broker 's opinions of value. + Coordinate the negotiation of sales through a… more
- AIG (New York, NY)
- …and training to less-experienced underwriters - and support them in building their broker network. + Your relationships with brokers will be key to your success. ... also aim to generate new business by expanding your broker network, representing AIG at internal and external meetings/...please send an email to ###@aig.com. Functional Area: UW - Underwriting National Union Fire Insurance Company of Pittsburgh,… more
- Zurich NA (New York, NY)
- …travel as necessary to support the needs of the team and to cultivate key broker relationships within the region (20%). This is a critical role in driving and ... Provide continuous coaching. + Mentor staff to develop strong broker and client networks as related to industries underwritten...incentive bonus eligibility set at 20%. As an insurance company , Zurich is subject to 18 US Code |… more
- Insight Global (New York, NY)
- …Officer will report to a supervisor with the Wealth Management Broker /Dealer Compliance division. * Review marketing material for consistency with applicable ... to internal partners with inquiries regarding business communications We are a company committed to creating diverse and inclusive environments where people can… more
- Axis (New York, NY)
- …of $25,000 to $75,000. Ideal candidates possess key retail and wholesale broker relationships and full life cycle exposure to portfolio management, including ... brokers and clients, as well as for industry and company events. **Responsibilities:** + Underwrite a profitable book of...on mid-size to large accounts. + Develop and manage broker relationships. + Develop internal relationships with other profit… more