- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance + ... the financial services industry allowing for a good understanding of broker /dealer operations and financial services products, and basic financial planning concepts.… more
- Guardian Life (Nashville, TN)
- …of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at an ... insurance-affiliated broker /dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120 days. + A… more
- Cushman & Wakefield (Maryland Heights, MO)
- …Assist in measuring transactional performance * Ensure that all client and broker engagement documentation is executed Transaction Management: * Coordinate field ... broker selection process * Assist with determining client needs and communicate project parameters * Coordinate negotiations and management of transactions *… 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
- MUFG (New York, NY)
- …including trade settlement and trade flow. Proven experience working within a Broker /Dealer environment. + **Product Knowledge:** Expertise with a broad range of ... the financial services industry, preferably in a relevant role within a Broker /Dealer or similar organization. + Demonstrated ability to effectively manage and… more
- HUB International (Wilmington, MA)
- …HUB International, you become part of the largest privately owned global insurance broker , providing a broad array of property, casualty, risk management, life and ... Account Managers and other team members to effectively delegate work. + Utilize HUB's Broker Management System (BMS - EPIC) to manage client account data and follow… more
- Marex (New York, NY)
- …appropriately, and actively supporting business areas in the lessons learnt. + Broker Error Management: Daily management of Broker Losses and reporting ... to help drive down total value, volumes and learn lessons. + Ensuring compliance with the company's regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges. + Adhere to the operational risk framework for your role ensuring that… more
- Equitable (Charlotte, NC)
- …issued by Equitable to professional financial intermediaries such as broker -dealers, banks, independent financial planners, and Equitable Advisors, the company's ... + Understands the unique needs of proprietary sales force, outside broker dealers, and financial advisors. + Maintains exceptional interpersonal relations, including… more
- Charles Schwab (Lone Tree, CO)
- …audited financial statements for applicable subsidiary entities, including Schwab's broker -dealer, bank, and international subsidiaries. The SEC Reporting group ... GAAP, financial reporting principles, and SEC regulatory requirements. + Relevant broker /dealer, banking, or other financial services accounting experience a plus. +… more
- Insight Global (New York, NY)
- …from medium to large sized commercial book of business (20M +) PnC and broker 's license, PnC casualty agent and PnC broker Outstanding Communicator and self ... starter Proficiency with Applied Epic is a large plus Background coming from Aon, Lockton, or Marsh more