- BMO Financial Group (New York, NY)
- …Income Compliance team in New York with a focus on FINRA and SEC broker- dealer requirements and corresponding oversight. We are looking for someone to work closely ... audits and examinations. + Provides regulatory perspective on business group's sales and marketing materials. + Anticipates/ identifies and analyses risk and… more
- Guardian Life (Nashville, TN)
- …environment in the branch office. + Timely communicate preliminary findings to your manager and branch office management verbally and then in writing. + Assist, as ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, with experience at an… more
- Citigroup (Miami, FL)
- …issues escalated + Review and approval of designated bank-channel and broker- dealer investments + Manage surveillance alerts within stated policy guidelines + ... not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management + Assist with ad-hoc projects and/or workflow testing as assigned… more
- Patten CAT (Oglesby, IL)
- …report, substitution log and delivery log completed each day and cc: the Branch Manager . Input from Sales Representative also required. Discuss daily. + Counter ... purpose of this position is to provide operational and sales support for the development of rental for the...the development of rental for the Cat(R)Rental Store. As Dealers start and grow their rental businesses, they will… more
- Neuberger Berman (PA)
- …UBS, and Raymond James. The goal of the Advisor Consultant is to increase sales and revenue of Neuberger Berman mutual funds, SMAs, ETFs, and alternative investment ... + Lead and develop the Philadelphia territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote business building… more
- Neuberger Berman (TX)
- …Ameriprise, and LPL. The goal of the Advisor Consultant is to increase sales and revenue of Neuberger Berman mutual funds, SMAs, ETFs, and alternative investment ... Texas (Dallas), Oklahoma, and Arkansas territory targeting wirehouses and broker dealers by actively developing relationships with advisors to promote business… more
- Zurich NA (Overland Park, KS)
- …close the deal + Service accounts, handle declinations/cancellations + Review detailed Dealer Product Questionnaire (DPQ) with key Sales personnel for accurate ... either the Level II or Level III. The hiring manager will determine the appropriate level based upon the...while delivering excellent service to our customers and the sales organization. As part of our team, you'll play… more
- Athene (MI)
- …in other locations will not be considered. Accountabilities: + Work closely with VP/Division Sales Manager to develop an appropriate business plan to maximize ... maintaining and building Athene's presence in the Direct/Independent Broker Dealer Channel. The RVP will partner with the Division... Channel. The RVP will partner with the Division Sales VP in developing and leading the wholesaling efforts… more
- Resideo (Melville, NY)
- …for Safety and Security Products** and will collaborate cross-functionally with Sales , Marketing, Quality, Engineering, Supply Chain, and Program Management to drive ... security and new construction channels. + **Customer Engagement & Sales Support** - Serve as a key **liaison with...with generous vacation time that can be scheduled with manager approval based on business priorities and personal needs,… more
- Bridgestone Americas (Nashville, TN)
- …& Product Management **Position Summary** The Experiential Marketing Lead reports to the Manager of Consumer Sales Training and plays a pivotal role within ... enhance brand awareness, product education, and customer engagement across multiple sales channels. Events include Bridgestone Drive & Learn, Product Launches,… more