- Charles Schwab (Westlake, TX)
- …compliance, and regulatory aspects of the financial services industry (eg, broker- dealer , RIA) **Preferred Qualifications:** + Ability to think conceptually and ... verbal communication, time management, and organizational skills + Excellent relationship management skills (negotiating, collaborating, influencing) + Thrives in… more
- HUB International (Fort Lauderdale, FL)
- …+ Track plan progress per workflow + Stay up to date with broker dealer /RIA changes and updates + Manage insurance, investment and legal review processes + Serve ... + Interface directly with clients consistently and be involved in the client relationship : + Collect missing data for client accounts + Lead website orientation and… more
- Lincoln Financial (Radnor, PA)
- …through clear, informed, and logical discussions/presentations. + Demonstrated strong relationship management skills with internal clients (eg senior management, ... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- TD Bank (Providence, RI)
- …central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their ... of other **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may… more
- Raymond James Financial, Inc. (New York, NY)
- …matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable regulations and ... the required compliance systems for the firm while fostering a positive relationship with department employees and management. + Responds to and oversees responses… more
- Sacramento Credit Union (Sacramento, CA)
- …experience, and promote loan growth. + Manages indirect relationships, including CUDL relationship . + *Supports and develops credit union staff with education and ... and loan servicing (Credit Scoring distribution reports, delivery channel reports, dealer concentration and performance reports, paid off loan and lien release… more
- SMBC (Jersey City, NJ)
- …institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional clients, focusing ... SEC 17a13 and 15c3-3 Possession or Control regulatory mandates + Build strong relationship with Middle Office and Charlotte peers + Proactive management and timely… more
- JPMorgan Chase (Evanston, IL)
- …referral source management and new lead generation + Assist in managing relationship and account reviews, promoting firm services to deepen client relationships; ... and services are offered through JP Morgan Securities LLC (JPMS), a registered broker- dealer and investment advisor, member of FINRA and SIPC. Annuities are made… more
- Warren Equipment Company (Odessa, TX)
- …that will maximize sales, profitability and market share. + Advise dealer on sales and advertising techniques. + Pro-actively establish effective relationships ... Intermediate to proficient problem solving, decision making, analytical, interpersonal, relationship building, presentation and leadership skills. + Intermediate budget… more
- Lincoln Financial (Radnor, PA)
- …effective presentations that convey a strong narrative. + Strong interpersonal and relationship management skills. Ability to adapt quickly in a fast paced and ... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more