- 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 ... **This job posting is specific to the team(s) listed below.** ** Broker -Dealer/Asset Management** Broker -Dealer/Asset Management team provides internal audit… more
- Charles Schwab (Westlake, TX)
- …is looking for a Director, Legal Counsel to support multiple retail-focused broker -dealer and investment adviser business units and work daily with managers, ... will act as part of a small team that supports Schwab's the broker -dealer and investment advisory products, services, and sales channels for Schwab's retail… 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 ... **Internal Audit BDAM, Bank or Corporate Technology Integrated Team** + Broker -Dealer/Asset Management + The Broker -Dealer/Asset Management team provides… more
- Robert Half Finance & Accounting (New York, NY)
- Description Financial Services/ Broker Dealer organization is looking to hire an Accountant to their team. They are located in Manhattan and are in the office 3 days ... all accounting and compliance related functions of the Company's broker dealer and other entities: * Work on the...* Work with third party firms to merge existing broker dealers to simplify reporting and maximize efficiency. *… more
- Athene (West Des Moines, IA)
- …for leading and developing a team of Internal Wholesalers within the Broker Dealer distribution channel. This role oversees daily sales activities, drives business ... the department. + Is a key partner with the Divisional Vice President, Broker Dealer Channel in ensuring internal and external wholesaler partnerships are working… more
- Huntington National Bank (Columbus, OH)
- …and implementation of the Compliance Program for Huntington's Investment Banking Broker Dealers and Huntington's Wealth Management Division inclusive of affiliates ... Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker -dealer compliance program functions including implementation of written supervisory… more
- HUB International (Atlanta, GA)
- …solve problems, create a better experience, and produce results for our broker , carrier, and benefits technology partners. We pride ourselves on **encouraging ... we're providing a timely and quality deliverable to our broker partners. + Maintains all marketing opportunities in the...Builds relationships with internal colleagues as well as external broker and carrier partners. + Supports efforts to gather… more
- Broadridge Financial Solutions (Denver, CO)
- …mutual fund families and clients to establish accounts with fund families, verify broker dealer information, and research commission inquires. We are made up of high ... reports to fund families once accounts are established for broker dealer verification. + Research and resolve inquiries from...families regarding the proper setup of accounts. + Verify broker dealer information via web or telephone. + Research… more
- 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
- GE Vernova (New York, NY)
- …products and services, including third-party fundraising and management. + Broker -Dealer Compliance: Coordinate and execute compliance obligations for regulated ... securities transactions arranged through a registered Broker -Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private placements and… more