- BlackRock (Princeton, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to Broker Dealer policies, Training Materials, and Certifications + Various on-going ... this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's compliance… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... OTC Markets Group Inc Associate , Investor Access OTC Markets Group - New...and enhancements. + Client Support: Guide VIC clients through onboarding and provide ongoing support and communication post-conference. +… more
- BlackRock (New York, NY)
- …rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker - dealer , mutual fund, or ETF business with 1+ years advertising ... **About this role** ** Associate , Global Product Solutions ETF Regulatory Marketing Review**...on this hybrid model to accelerate your learning and onboarding experience here at BlackRock. **About BlackRock** At BlackRock,… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …in a client service or operations role within a financial services firm (RIA, broker - dealer , custodian, or bank) + Strong communication and follow-through with a ... Description Client Service Associate Walnut Creek, CA | In-Office Preferred (Hybrid...contact for clients and play an integral role in onboarding , account maintenance, and ongoing service. You'll partner closely… more
- Huntington National Bank (Chicago, IL)
- …Services or related experience within Preferred Qualifications: + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + ... Description The Institutional Sales Support Associate plays a vital role in delivering exceptional service and operational support to institutional sales… more
- TD Bank (New York, NY)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities ... details for this role. **Line of Business:** TD Wealth **Job Description:** The Associate Private Client Relationship Manager (ARM) is a high-touch point of client… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …service, preferably within wealth management or financial services. + Familiarity with broker - dealer platforms; experience with LPL is strongly preferred. + ... Description Job Posting: Client Service Associate - Wealth Management A boutique wealth management...across a range of financial services. + Facilitate smooth onboarding for new clients and maintain strong, ongoing relationships… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …experience, preferably in financial services or wealth management. + Familiarity with broker - dealer platforms; experience with LPL is strongly preferred. + ... in Walnut Creek, CA is seeking a Client Service Associate to join its growing team. This firm is...inquiries regarding financial products and services. + Support client onboarding and ensure a smooth transition for new clients.… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …and 2+ years in client service (wealth management preferred) + Experience with broker - dealer platforms (LPL strongly preferred) + Strong communication skills and ... financial guidance and exceptional service. We're looking for a Client Service Associate who thrives in a relationship-driven environment and is passionate about… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... management of vendor payment and expense reimbursement, arrangement consultant onboarding , support to Intra-office Inspection, etc.. Core Competencies Bachelor's… more