- USAA (Tampa, FL)
- …+ Subject-matter-expert level of business acumen in the areas of annuity business operations , broker dealer sales processes and paperwork, sales suitability, ... in annuity operations support and service, preferably within a broker - dealer or insurance company utilizing third-party annuities distribution. + 2… more
- TD Bank (Fort Lauderdale, FL)
- …and providing guidance on advertising and marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business operations experience in areas ... to setting new industry standards. **Job Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support)… more
- TD Bank (Fort Lauderdale, FL)
- …across multiple jurisdictions and business lines, including consumer and commercial banking, broker - dealer operations , and wealth management. This role also ... and Experience below as you consider this opportunity.** **Job Summary:** The Senior Manager , Compliance Governance & Operations leads, develops and oversees a… more
- Truist (Orlando, FL)
- …timely field responses in a coordinated manner. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... Perform supervisory functions that are routinely associated with those of a retail broker / dealer . Actively engage field associates and serve as a dedicated… more
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... + Supporting teams with compliance and control; partners with operations , risk, compliance, legal and other entities to ensure...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- TD Bank (Fort Lauderdale, FL)
- …the general summary below.** **Job Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support) ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent… more
- Lincoln Financial (Tallahassee, FL)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... a Glance** We are excited to bring on a ** Manager ** to join the **Complex Services** team supporting our...5+ Years of experience in Client Customer Support and Operations that directly aligns with the specific responsibilities for… more
- Lincoln Financial (Tallahassee, FL)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... are excited to bring on a **Retirement Call Center Manager ** to support the Retirement Plan Services organization in..._Nice-to-have experience (Preferred)_ : + Retirement plan knowledge and operations experience + FINRA Series 6 license + Project… more
- Citigroup (Tampa, FL)
- …Supervision, and Technology **Knowledge & Experience:** + 10+ years' experience at a bank/ broker dealer / wealth manager ; some appropriate licenses preferred ... The Business Risk Manager , based in New York, will join the global Wealth Investment Solutions Business Risk Team as a Senior Vice President, and will report to the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …of IT systems and software that support business strategy, process improvements, broker dealer integration and risk management. + Subject matter expert ... savings. Serves as a subject matter expert on Mortgage production, technology, operations , and general business practices. Leads large or multiple projects with… more