- Vanguard (Scottsdale, AZ)
- …inspires a high-performing team of hybrid sales professionals within Vanguard's dynamic Broker Dealer channel, fueling growth and innovation for a key, rapidly ... evolving broker -dealer partner. This team thrives on building meaningful advisor...years related work experience. Five years of sales experience preferred . + Undergraduate degree or equivalent combination of training… more
- KeyBank (Lea County, NM)
- …registered swap dealer and the middle office operations of an introducing broker . The consultant will drive process improvements, ensure regulatory compliance, and ... to brokerage and swap dealer operations. + Strong understanding of introducing broker -dealer models and clearing firm relationships. + Knowledge of derivatives and… more
- Trinity Health (Boise, ID)
- …time **Shift:** Day Shift **Description:** Vice President of Large Employer Broker Relations will be responsible for identifying, developing, and implementing large ... employer business strategies to support growth, and strengthen broker stakeholder relationships throughout the Saint Alphonsus Health System service area. Develops… more
- BMO Financial Group (New York, NY)
- Our ideal candidate has FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer ... business and regulatory environment is required. + Control framework knowledge & experience preferred eg SOX 404, COBIT and COSO frameworks. + Deep knowledge and… more
- ADP (Liverpool, NY)
- ADP is hiring a **H-B Broker Channel Sales Representative** . + **_Are you ready to control your financial future with unlimited upside earnings potential?_** + ... **What you'll do:** _Responsibilities_ As a Major Accounts Sales H-B Broker District Manager, you will identify and cultivate new business opportunities… more
- JPMorgan Chase (Plano, TX)
- …striving to be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry knowledge to ... + Manage exposure to a client base consisting of North American Banks, Broker Dealers, Fintechs, Credit Unions, Card Processors, and other financial institutions +… more
- Principal Financial Group (Des Moines, IA)
- …join our legal team to lead regulatory examinations, and to assist our retail broker -dealer with its legal needs. This attorney will partner with the business units, ... You will also provide day-to-day support to Principal's dually-registered retail broker -dealer and investment adviser, Principal Securities. In this role, you'll… more
- CBRE (Ontario, CA)
- Private Client Program - Associate Broker Job ID 199349 Posted 05-May-2025 Service line Advisory Segment Role type Full-time Areas of Interest Sales/Brokerage ... on leasing availability, current market conditions, and property values. + Prepare Broker Opinion of Valuation and Offering Memorandums. + Gathering and analyzing… more
- M&T Bank (Baltimore, MD)
- …defense risk management responsibilities of the Investment Bank and Institutional Broker -Dealer in accordance with the Enterprise Risk Framework. Oversee the ... team on risk and control topics impacting the Institutional Broker -Dealer, Corporate Securities Underwriting, and Syndications/ Participations. **Primary Responsibilities:**… more
- WTW (New York, NY)
- …and completeness + Sorts and distributes work assignments for developing brokers + Maintain and develop business relationships with client advocates, producers ... knowledge/experience is required and previous success in client facing work strongly preferred . + 5+ years' insurance experience in a similar job function or… more