- Vanguard (Malvern, PA)
- …growing and evolving service offerings, Vanguard seeks a highly skilled broker -dealer compliance professional to lead strategic compliance activities related to ... and wealth management businesses. Broad knowledge and experience with broker -dealer regulations is required, while familiarity with investment adviser, investment… more
- CIBC (New York, NY)
- …the US Compliance Examination Plan established to ensure adherence with broker -dealer requirements and compliance with federal and self-regulatory organization (SRO) ... banking and corporate banking services provided through the US broker -dealer, CIBC World Markets Corp., but may also support...but may also support other affiliated entities within the company including, but not limited to, the parent bank… more
- Guardian Life (Springfield, IL)
- …Louis, MO. The Sales Representative will be responsible for building and maintaining broker and plan holder relationships to drive ongoing sales and retention of ... determined based on the ability to attain high levels of production through broker development and internal relationships! This role will report to the Market Leader… more
- CoStar Realty Information, Inc. (Irvine, CA)
- Sales Engineer II, Ten-X - Irvine, CA Job Description ** Company Overview** CoStar Group (NASDAQ: CSGP) is a leading global provider of commercial and residential ... due diligence is available to buyers, and support the broker 's buyer engagement as needed to sell the property...are sold as scheduled. + Strive to improve the company Net Promoter Score (NPS) through timely communication, setting… more
- Thrivent Financial (Minneapolis, MN)
- …a thorough understanding of products, processes, and capabilities relevant to broker dealers and Registered Investment Advisors (RIAs). Stay updated on industry ... thorough understanding of product, processes, and capabilities relevant to broker dealers and registered inve stment advisors (RIAs). +...Off each year; Sick and Safe Time; 10 paid company holidays; Volunteer Time Off; paid parental leave; EAP;… more
- The Walt Disney Company (Rancho Mirage, CA)
- …**Contacting & Lead Generation** + Contact potential clients to gauge interest in broker services and refer them to agents. **Document Handling & Compliance** + ... cannot negotiate terms. + Provide written, factual loan information from broker -prepared materials. + Notify borrowers about missing information in applications. +… more
- Cushman & Wakefield (Los Angeles, CA)
- …Description Summary** We are seeking a proactive, detail-oriented, and highly organized Broker Coordinator to join our team. This individual will provide direct ... role is essential in maintaining smooth day-to-day operations and enhancing broker productivity and client service. **Job Description** + **_Broker Support:_** +… more
- Charles Schwab (Westlake, TX)
- …The department is split into five Enterprise Teams: Technology, Broker -Dealer/Asset Management, Bank, Corporate, and Professional Practices. All interns will ... Audit BDAM, Bank or Corporate Technology Integrated Team** + Broker -Dealer/Asset Management + The Broker -Dealer/Asset Management team...- both today and in the future: 401(k) with company match and Employee stock purchase plan Paid time… more
- Zurich NA (Los Angeles, CA)
- …manage the LA Region's financial plan, growth strategy, cultivate client and broker relationships, retention and managing the overall health of our P&L. ... results + Recommending and implementing action plans after reviewing broker book of business profit, growth results and trends...incentive bonus eligibility set at 25%. As an insurance company , Zurich is subject to 18 US Code |… more
- Cushman & Wakefield (St. Louis, MO)
- …& Wakefield service lines. + May liaise with Commission Accounting on behalf of the broker team in regard to broker commissions, outside broker payments, and ... market pay rates in that area, and the candidate's experience and qualifications. The company will not pay less than minimum wage for this role. The compensation for… more