- Truist (Charlotte, NC)
- …and managerial functions that are routinely associated with those of a retail broker / dealer and RIA. **Essential Duties and Responsibilities** + Manage a team ... of 4 - 10 Supervisors. + Provide coaching and focused training for team as needs are identified. + Supervisory responsibility for Investment Advisory accounts. Utilize multiple systems to ensure compliance with firm policies related to advisory account… more
- TD Bank (New York, NY)
- …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... best practices and supervisory requirements + Strong ability to work with Compliance, Legal or Risk partners to interpret regulation or policy and assess applicability to business activities and controls + Strong conceptual, analytical and problem-solving… more
- Wellington (Chicago, IL)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... regulatory issues. + Excellent drafting, analytical, and communication skills. + Ability to manage multiple priorities and work independently in a fast-paced, collaborative environment. Location: Boston, Needham, New York, Chicago Not sure you meet 100% of our… more
- Kestra Financial (San Antonio, TX)
- …years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, mutual ... funds, annuities, insurance, managed accounts). + Experience within an independent financial planning firm is highly desirable. + Previous management or leadership experience is a plus. Licenses & Certifications + Series 7 and 65/66 licenses preferred (or… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... independently. + Strong oral and written communication skills. + Ability to build and maintain professional relationships with internal and external parties. + Produce high quality output timely and accurately. + Strong technology skills including Word,… more
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... SEC, FINRA and other relevant regulatory requirements. + Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them. + Excellent… more
- Raymond James Financial, Inc. (Bethesda, MD)
- …Concepts, practices and procedures of business development in a financial services/ broker - dealer environment. * Investment concepts, practices and procedures ... used in the securities industry. * The principles of banking and finance and securities industry operations. * Financial markets, products, financial advisory function and the investment process. **Skill in** * Sourcing and developing sales prospects. *… more
- Vanguard (Malvern, PA)
- …4 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 (Mattapan, MA)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Athene (West Des Moines, IA)
- …environment at our various locations. Purpose: The Internal Wholesaler in the Independent Broker Dealer channel will educate Financial Advisors on Athene annuity ... products, services and resources via proactive & direct phone contact. This role will partner with the Regional Vice President (RVP) in assigned region to generate sales by prospecting, profiling and relationship-building over the phone! Accountabilities: +… more