- Lincoln Financial (Radnor, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... of securities and governance matters to internal groups, including Financial Reporting, Investor Relations, Corporate Communications, Executive Compensation, Treasury… more
- Lincoln Financial (Radnor, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... \#DICE **What's it like to work here?** At Lincoln Financial , we love what we do. We make meaningful...including annuities, life insurance, group protection, and retirement plan services . With our 120-year track record of expertise and… more
- Vanguard (Malvern, PA)
- …and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related to ... brokerage and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with investment adviser,… more
- PNC (Pittsburgh, PA)
- …sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad… more
- TD Bank (Downingtown, PA)
- …business activities (eg OCC, SEC, State Insurance Commissioners, NY Department of Financial Services , etc.) + Ensures all Continuing Education requirements are ... **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to...banking experience or are just starting your career in financial services , we can help you realize… more
- Equitable (Philadelphia, PA)
- …support * LPL Financial , member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they are not affiliated. **Qualifications** ... + Our open-architecture platform for client solutions + Our broker / dealer powered by one of the world's...is a big decision. So we offer support and financial packages designed to make your transition into Equitable… more
- Guardian Life (Bethlehem, PA)
- …on department projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong ... office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for &...realize their dreams through a range of insurance and financial products and services . Our Purpose, to… more
- Vanguard (Malvern, PA)
- …supervision and relevant supervisory control regulations. + Strong knowledge of Broker Dealer compliance, front-line supervisory practices, and incentive ... Personal Investor Supervisory Controls, Governance and Surveillance agenda within the Service and Operational Excellence (S&OE) Organization. This senior level role… more
- JPMorgan Chase (Pittsburgh, PA)
- …At least 2 years in a Financial Advisor role or equivalent financial services experience + Demonstrated success in client acquisition, cultivating and ... offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA...not available in all states. Chase is a leading financial services firm, helping nearly half of… more
- Guardian Life (Harrisburg, PA)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's multifaceted ... customers realize their dreams through a range of insurance and financial products and services . Our Purpose, to inspire well-being, guides our dedication to the… more