- Robert Half Finance & Accounting (Mountain View, CA)
- …transaction booking related to checking accounts, including cash withdrawals, broker account activities, and non-cash transactions such as loan-associated purchases. ... and present Excel worksheets containing client financial data analysis, such as broker analysis and construction, or investment history spreadsheets. * Generate and… more
- TD Bank (New York, NY)
- …not required + 5 or more years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB), or associated regulator. + ... **Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global… more
- T. Rowe Price (Owings Mills, MD)
- …+ Conduct competitive and market research, benchmarking digital experiences from broker /dealers and fintechs + Translate investor needs and business objectives into ... Direct experience building digital investing or trading experiences at a broker /dealer or online brokerage + Strong understanding of self-directed investor… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …other duties and responsibilities as assigned. **Knowledge of** + Operations of broker dealers, hedge funds, and private equity firms + Fund accounting procedures ... in accounting or finance and prefer a minimum of two years of experience at a broker /dealer or hedge fund or private equity firm + OR ~ + Any equivalent combination… more
- Wellington (Boston, MA)
- …SEC, CFTC, FINRA, NFA requirements + Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, including ... with legal support of Wealth initiatives preferred (eg, marketing, limited-scope broker /dealer support, US retail fund distribution, interval funds, tender offer… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Products, processes, and business structure of independent registered investment advisors and introducing broker dealers. + Familiarity with "a day in the life of an ... platforms and products and services commonly offered to independent registered investment advisors and introducing broker dealers. **Licenses/Certifications** + None more
- HUB International (Maryland Heights, MO)
- …aspects of client service, marketing, and renewal while adhering to HUB Broker Standards + Oversees the preparation and implementation of all transactions, ... with clients and carrier representatives and updates all HUB computer systems and broker management system when necessary. Ensures the accuracy of data in those… more
- HUB International (Omaha, NE)
- …information for Surplus Lines tax filings + Collect and manage documentation from broker policy administration systems + Respond to Surplus Lines tax audits and ... at HUB International, you become part of the 5th largest global insurance broker , providing a broad array of property, casualty, risk management, life and health,… more
- Zurich NA (St. Louis, MO)
- …and endorsements for more complex business accounts. + Drives broker /agent/distributor/customer interactions and on-site calls related to account servicing matters ... well-prepared purpose. Builds strong working relationships outside the team and with broker counterparts. + Develops new team members and provides support and… more
- WTW (Atlanta, GA)
- …and risk management needs through deep industry specific expertise. The role of a broker is to help our clients mitigate their total cost of risk. The brokerage ... work with our clients to assess, model, and structure risk. Once modeled, the broker personally escorts the clients' risk into the market and draws upon their market… more