- OTC Markets Group Inc (New York, NY)
- …Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker -dealers rely on to facilitate trading. Our innovative model offers ... regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker -dealer, member SIPC. Applicants have rights under the federal law: Equal Employment… more
- Zurich NA (Trenton, NJ)
- …of underwriting + Establish new as well as develop existing agency and broker relationships + Working within limits and authorities on assignments of varying degrees ... with Microsoft Office Preferred Qualifications: + Bachelor's Degree + Established broker relationships. + Sales execution mindset + Creative problem-solving skills +… more
- MUFG (New York, NY)
- …counterparty credit analysis on a range of counterparty types: banks, broker dealers, clearing houses, insurance companies, REITs, Mortgage originators and servicer ... Experience writing credit reviews on Mortgage Originators, REITS, servicers, banks, broker dealers and related FIG counterparty types. + Interpersonal skills:… more
- KeyBank (Brooklyn, OH)
- …across Key's Asset Management activities (ie - wealth management and trust, broker -dealer, and swap dealer) and lines of business, products, and functional ... The Director must have comprehensive knowledge of wealth management, fiduciary/trust, broker -dealer, and investment management as well as a strong understanding of… more
- Capital One (Mclean, VA)
- …for Commercial Banking (includes commercial lending, treasury management, institutional broker -dealers and CFTC swap dealer), Corporate Functions (eg, Human ... industry **Preferred Qualifications:** + Master's degree + 10+ years of US broker -dealer, swap dealer and/or financial crimes experience in a testing or audit… more
- HUB International (South Portland, ME)
- …HUB International, you become part of the largest privately owned global insurance broker , providing a broad array of property, casualty, risk management, life and ... and monitor revenue tracking from various sources of payment (across P&C, Benefits and Broker Dealer, as well as, between the HUB regions.) + Manage and monitor the… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …complexity with significant scope and impact focused on the firm's broker -dealer and investment advisory activities. Assesses risk within assigned internal audits, ... especially those associated with the registered investment advisory and broker -dealer divisions * Knowledge and understanding of industry regulations, specifically… more
- Motion Recruitment Partners (New York, NY)
- …have experience working in a collaborative work environment for a financial services/RIA/ Broker Dealer firm and have a passion for delivering outstanding client ... ongoing activity * Work with client types including direct/retail investors, broker dealer platforms, institutions and advisors * Support client communication via… more
- TD Bank (Marlton, NJ)
- …Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Supervision Controls ... licensing, as required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities… more
- CalSTRS (Sacramento, CA)
- …position within the Investment Branch, you will be required to disclose your personal broker account information and be required to utilize a personal broker ... from a designated list as provided by CalSTRS. **Background Investigation** Prior to employment with CalSTRS, a background investigation (BI) will be conducted. The BI consists of a _Personal History Statement_ and fingerprinting through the Department of… more