- SMBC (New York, NY)
- …office staff, second line credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including ... products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority (FINRA) and… more
- Zurich NA (New York, NY)
- …of international programs. As an Underwriting Account Service Analyst, you will support and work closely with experienced Underwriters in the review and analysis ... and endorsements for more complex business accounts + Drives broker /agent/distributor/customer interactions and on-site calls related to account servicing matters… more
- Citizens (New York, NY)
- …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. . + ... Develop and support implementation of legal assessments, interpretations, recommendations, and opinions...legal experience with substantial experience in the RIA and Broker -Dealer space. + Thorough familiarity with federal securities laws,… more
- Guardian Life (New York, NY)
- …operational processes, possess a broad understanding of sales incentive plans and broker commissions, preferably within the Group Benefits industry. This person must ... and decisions and ensure compliance at all levels. + Support the Head of Group Benefits Distribution Compensation &...degree and 10+ years of experience in sales compensation, broker commissions, sales incentives, or related fields, with at… more
- Guardian Life (Albany, NY)
- …+ Review additional materials and conduct interviews, as needed, to support risk-based testing methodologies or follow-up on potential business risk exposures. ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at an… more
- Neuberger Berman (New York, NY)
- …ensure operational processes, governance structures, and risk management practices support both regulatory requirements and business objectives, while maintaining a ... highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the...mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats… more
- AON (New York, NY)
- …time. + Results oriented. + Proficiency with Word, Excel, Power Point. + Broker 's license + 10+ years of insurance experience are highly preferred. Preferred ... degree or equivalent experience in related field How we support our colleagues In addition to our comprehensive benefits...oriented. + Proficiency with Word, Excel, Power Point. + Broker 's license + 10+ years of insurance experience are… more
- JPMorgan Chase (New York, NY)
- …striving to be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry knowledge to ... make and support credit decisions for a diverse portfolio of clients....to a client base consisting of North American Banks, Broker Dealers, Fintechs, Credit Unions, Card Processors, and other… more
- Zurich NA (Albany, NY)
- …and regulations and rating manual rules + Developing and maintaining agency and broker relationships + Working within broad limits and authorities on highly complex ... Equivalent and 6 or more years of experience in the Claims or Underwriting Support areaOR + Zurich Certified Insurance Apprentice including an Associate Degree and 1… more
- AIG (New York, NY)
- …of profit center strategic initiatives and providing technical underwriting and marketing support on other projects + Assisting regional manager and product leaders ... in developing existing and establishing new broker relationships + Collaborating with Distribution, Territory Managers, and...our customers. At AIG, you can go further to support individuals, businesses, and communities, helping them to manage… more