- Vanguard (Malvern, PA)
- …years law firm experience or in-house corporate experience in a bank, broker /dealer or investment firm. + Knowledge and experience in derivatives, securities ... lending, repurchase transactions, and/or custody (legal documentation and global regulatory framework), including ISDAs, CSAs, MSFTAs, Futures and Option Agreements, Prime Brokerage Agreements, MRAs, GMRAs, MSLAs, GMSLAs, Agent Lending Agreements, and/or ACAs.… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker -dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities Dealer, ... Futures Commission Merchant, Commodity Pool Operator, and registered as a swap dealer and Security-Based Swap Dealer. JPMS LLC conducts investment banking and securities and futures business, specializing in a wide range of financial products for clients… more
- Dairy Farmers of America (Kansas City, KS)
- …eligibility rules to prospective and existing clients, regional sales agents, broker partners, and customer service center staff. Provide information within ... established departmental timeframes + Monitor new business and processing output to ensure accuracy of initial billing + Process requests for claims. Analyze claim submission to ensure accuracy and completeness of information and eligibility for recovery.… more
- Insight Global (Tampa, FL)
- Job Description A large broker -dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... securities brokerage and investment advisory organizations. This person ensures that all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this role,… more
- HUB International (Austin, TX)
- **About Us:** HUB is a global insurance and employee benefits broker , providing a broad array of property, casualty, risk management, life and health, employee ... benefits, investment and wealth management products and services. With over 18,000 employees in 600 offices throughout North America, HUB has grown substantially, in part due to our industry leading success in mergers and acquisitions. **Mission Statement:**… more
- JPMorgan Chase (Chicago, IL)
- …Advisors in multiple generalist channels including Wirehouse, RIA, Independent Broker -Dealer and Chase Wealth Management channels. These internal partners will ... leverage PWA ICAs as specialists in alternatives-focused conversations with their clients. The candidate must work collaboratively across channels with their JPMorgan counterparts to engage and close alternatives sales opportunities. **Job responsibilities** +… more
- Mizuho Corporate Bank (New York, NY)
- …2111, AML Wolfsberg Questionnaire, Accelerated Onboarding Sheets & 151 Prime Broker Agreements). + Ability to understand an Investment Advisor's organization ... structure, as well as, when full KYC Onboarding is required versus streamlined KYC Onboarding is required. + Liaise with internal groups such as Legal, Compliance, Sanctions, Regulatory, Tax and Operations Skills and Competencies: + Team player + Independent,… more
- Mizuho Corporate Bank (New York, NY)
- …capital calculations for all Mizuho Americas businesses and products (banking, broker -dealer and derivatives trading) under Basel III + Conduct quantitative analyses ... to explain variation in the risk capital under US and Japanese Basel approaches + Prepare and distribute risk capital reports, including rigorous data validation and effective commentary + Review, monitor, and manage risk capital budgets + Establish, document,… more
- The Cigna Group (Conshohocken, PA)
- …the manager. Accountable to proactively manage, respond and address client and broker inquiries through service plans to facilitate results attainment for the client ... managing business relationships, delivery of moderately complex client and broker requests, using independent judgment and discretion, proactive service support… more
- T. Rowe Price (Owings Mills, MD)
- …ways that matter to you . About this Position Reporting to the Broker /Dealer Chief Compliance Officer, the role is responsible for ensuring compliance programs ... Individual serves as a subject matter expert in the broker /dealer regulatory landscape. Works closely with key stakeholders across...and needs, at work and in life. As an associate , you'll be supported with resources , benefits ,… more