- Vanguard (Malvern, PA)
- …growing and evolving service offerings, Vanguard seeks a highly skilled broker -dealer compliance professional to lead strategic compliance activities related to ... and wealth management businesses. Broad knowledge and experience with broker -dealer regulations is required, while familiarity with investment adviser, investment… more
- CIBC (New York, NY)
- …the US Compliance Examination Plan established to ensure adherence with broker -dealer requirements and compliance with federal and self-regulatory organization (SRO) ... banking and corporate banking services provided through the US broker -dealer, CIBC World Markets Corp., but may also support...but may also support other affiliated entities within the company including, but not limited to, the parent bank… more
- Thrivent Financial (Minneapolis, MN)
- …a thorough understanding of products, processes, and capabilities relevant to broker dealers and Registered Investment Advisors (RIAs). Stay updated on industry ... thorough understanding of product, processes, and capabilities relevant to broker dealers and registered inve stment advisors (RIAs). +...Off each year; Sick and Safe Time; 10 paid company holidays; Volunteer Time Off; paid parental leave; EAP;… more
- Elevance Health (Costa Mesa, CA)
- …the sales teams which supports the selling, servicing, and retaining activities for brokers and clients. + Partners with proposal units request for proposal ("RFP") ... responses to brokers and groups and maintains various system updates for...a number of legitimate, non-discriminatory factors set by the Company . The Company is fully committed to… more
- Charles Schwab (Westlake, TX)
- …The department is split into five Enterprise Teams: Technology, Broker -Dealer/Asset Management, Bank, Corporate, and Professional Practices. All interns will ... Audit BDAM, Bank or Corporate Technology Integrated Team** + Broker -Dealer/Asset Management + The Broker -Dealer/Asset Management team...- both today and in the future: 401(k) with company match and Employee stock purchase plan Paid time… more
- Cushman & Wakefield (St. Louis, MO)
- …& Wakefield service lines. + May liaise with Commission Accounting on behalf of the broker team in regard to broker commissions, outside broker payments, and ... market pay rates in that area, and the candidate's experience and qualifications. The company will not pay less than minimum wage for this role. The compensation for… more
- MUFG (New York, NY)
- …bridge between our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade flows, ... + Maintain and update operating procedures, stay current on evolving broker ‑dealer settlement rules and regulatory requirements, and ensure adherence throughout the… more
- Foresters Financial Services (Westbury, NY)
- …Financial Group(R) ("Cetera") is a leading network of independent retail broker -dealers empowering the delivery of objective financial advice to individuals, ... families and company retirement plans across the country through trusted financial...and institutions-based advisors the benefits of a large, established broker -dealer and registered investment adviser, while serving advisors and… more
- Foresters Financial Services (Cleveland, OH)
- …Financial Group(R) ("Cetera") is a leading network of independent retail broker -dealers empowering the delivery of objective financial advice to individuals, ... families and company retirement plans across the country through trusted financial...and institutions-based advisors the benefits of a large, established broker -dealer and registered investment adviser, while serving advisors and… more
- Coinbase (Boise, ID)
- …someone who will run towards, not away from, solving the company 's hardest problems. Our [work culture](https://www.coinbase.com/mission) is intense and isn't for ... remote-only. In-person participation is required throughout the year. Team and company -wide offsites are held multiple times annually to foster collaboration,… more