- State of Montana (Helena, MT)
- …mission by conducting: * Financial regulatory examinations of Montana-registered broker -dealer and investment adviser firms to analyze the financial condition ... PowerPoint, Teams, and Outlook. * Ability to analyze financial statements of broker -dealer and investment adviser firms. * Ability to use sound judgement, examine… more
- Equitable (Charlotte, NC)
- …organization that will help unlock your potential? The head of the Broker Dealer department is seeking a highly motivated, detail-oriented and efficient individual ... gain experience and exposure across all areas of the Broker Dealer business. We need an enthusiastic go getter...and system setup. + Handle travel and scheduling for Broker Dealer directors. + Work with the team to… more
- Scotiabank (Dallas, TX)
- …Program covers US regulations applicable to all of Scotiabank's US broker -dealer (including internal inspections), banking, swap dealer, futures commission merchant, ... testing or audit. * Experience/background in compliance applicable to broker -dealer internal inspections, institutional trading & sales, investment banking, futures… more
- Dart Container (New York, NY)
- …& display growth, and margin objectives while managing corporate, in-store and In-Field ( Broker ) initiatives tailored to the needs of these key retailers. Serving as ... to develop and deliver accurate sales forecasts + Lead Broker Management- Supervises the direction and management of the... Management- Supervises the direction and management of the broker . Provides clear direction and is accountable for the… more
- HUB International (San Antonio, TX)
- **About HUB:** HUB International is a global insurance broker providing a broad array of property, casualty, risk management, life and health, employee benefits, ... aspects of client service, marketing, and renewal while adhering to HUB Broker Standards + Oversees the preparation and implementation of all transactions,… more
- Insight Global (New York, NY)
- …Officer will report to a supervisor with the Wealth Management Broker /Dealer Compliance division. * Review marketing material for consistency with applicable ... Minimum 5 years of relevant work experience with a financial institution such as a broker /dealer. Minimum 3 years compliance experience with a broker /dealer. more
- Zurich NA (Boston, MA)
- …Way 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 + Superior skills in relationship building, active listening, needs… more
- Capital One (Madison, WI)
- …and results driven Senior Private Aviation Specialist, with experience as a private jet broker . The role will require a hands on approach, with ownership of the ... At least 2 years experience as a private jet broker **Preferred Qualifications:** + 3+ years experience as a...Qualifications:** + 3+ years experience as a private jet broker **At this time, Capital One will not sponsor… more
- JPMorgan Chase (New York, NY)
- …you will provide critical guidance and support to several of the Firm's broker -dealer and investment advisory business groups for JP Morgan Wealth Management. You ... Serve as a primary legal contact supporting JP Morgan Wealth Management's broker -dealer and investment advisory products, services, and sales channels for retail… 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
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