- Zurich NA (Montgomery, AL)
- …of underwriting + Establish new as well as develop existing agency and broker relationships + Working within limits and authorities on assignments of varying degrees ... Ability to effectively assess risk + Strong negotiation skills + Strong broker relationships in South region, specifically Mississippi and/or Alabama + Superior… more
- Atria Wealth Solutions (Allentown, PA)
- …external network you develop + Experience and aptitude with working with broker -dealer technology, ie, electronic order entry systems, DocuSign, etc. to process ... LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker -dealer and RIA with a stable, 25-year track record...their members. We're ranked as one of the top broker -dealers in the industry and we work with some… more
- Wells Fargo (New York, NY)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker -dealer regulations and lending compliance. **In this role, you will:** + Serve ... etc.). + Expertise in FINRA, SEC, FRB, and OCC regulations related to broker -dealer and ABS activities. + Familiarity with traditional lending regulations (Reg B,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the service experience for independent registered investment advisors and introducing broker dealers for the custodian and clearing services platform. Strategic ... and business structure of independent registered investment advisors and introducing broker dealers. + US financial regulations impacting custodian and clearing… more
- Atria Wealth Solutions (Sandusky, MI)
- …network you develop. + Experience and aptitude with working with a broker -dealer technology, ie, electronic order entry systems, DocuSign, etc. to process business, ... through SPF (Member FINRA/SIPC). SPF (Member FINRA/SIPC) is a broker -dealer and Registered Investment Advisor with a stable, 25-year...their members. We're ranked as one of the top broker -dealers in the industry and we work with some… more
- HUB International (Chicago, IL)
- …centers of excellence. HUB is a global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk ... PowerShell, robocopy and batch files scripting + Application migration experience with broker management systems a plus (ie Epic, Benefit Point, AMS360, etc.) +… more
- Charles Schwab (San Francisco, CA)
- …planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the ... preferred. * Demonstrated detailed knowledge of finance * Deep knowledge of broker / dealer liquidity and collateral requirements * Extensive experience and… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer. We strive to be a complete destination for traders looking to ... are required to be registered, and licensed with our broker -dealer in order to trade at the firm. Either,...not required to be registered, and licensed with our broker -dealer. They must maintain a balance of $25,000 USD… more
- Atria Wealth Solutions (Richmond, VA)
- …network you develop + Experience and aptitude with working with a broker -dealer technology, ie, electronic order entry systems, DocuSign, etc. to process business, ... LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker -dealer and RIA with a stable, 25-year track record...their members. We're ranked as one of the top broker -dealers in the industry and we work with some… more
- CBRE (Baltimore, MD)
- …expanded business opportunities through market research and data analysis as directed by broker team. + Provide broker team with pertinent information on current ... trends. Analyze internal and external data to identify and present trends to broker team. Maintain current knowledge of market conditions and legislation that may… more