- Raymond James Financial, Inc. (St. Petersburg, FL)
- …**Essential Duties and Responsibilities:** + Liaise with employees and certain broker -dealers to ensure completion of policy driven requirements related to FINRA ... regulations, and conflicts of interest. Familiarity/facility with RJ and its systems is preferable. + Company's working structure, policies, mission, and strategies.… more
- USG Insurance Services, Inc. (Pittsburgh, PA)
- …in Canonsburg, PA, expertly oversee and manage both our proprietary and third-party systems , ensuring our sales operations stay at the forefront of technological ... and Houston Who We Are: Welcome to USG, a distinguished national wholesale broker and managing general agent (MGA) with a prominent presence across the nation.… more
- JPMorgan Chase (Portland, OR)
- …directly with brokers and customers to optimize revenue from carbon credit sales . **Job Responsibilities** + Develop strategies and tactics to enhance CG's ... carbon credit projections, IRR analysis, and a full risk assessment. + Develop broker and customer relationships that yield premiums from the sale of high quality… more
- HUB International (Troy, MI)
- …Producer has primary responsibility for client relationship management and initiatingnew sales . The Account Executive has primary responsibility for retaining the ... account, acting as the de facto technical expert and broker -consultant. (In some instances, no Producer will be assigned, and the Account Executive also is primarily… more
- Lincoln Financial (Dover, DE)
- …to respond to customer inquiries and document customer interactions in the appropriate systems . You will take ownership of each call working to deescalate customer ... + Customer service experience or data entry experience while using multiple systems . **Application Deadline** Applications for this position will be accepted through… more
- 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 ... and stakeholder needs. + Consult on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives. +… more
- Lincoln Financial (Radnor, PA)
- …that ensure the security and integrity of company data, databases, information systems , and technology. * Conducts complex risk analysis to identify critical ... operations and systems that are core to continued business operations in...unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package. **About The… more
- Scotiabank (Dallas, TX)
- …equity financing, mergers & acquisitions, corporate banking, institutional equity sales , trading and research, fixed income products, derivatives, energy, foreign ... culture to deepen client relationships and leverage broader Bank relationships, systems and knowledge. + Champions a high-performance environment and contributes to… more
- Robert Half Finance & Accounting (Boston, MA)
- …with annual supervisory controls testing, review and approve advertising, sales literature, trade corrections, and other compliance matters, while investigating ... Successful candidates will organize compliance records, manage compliance application systems , and maintain accurate documentation processes. Requirements At least… more
- ADM (Chicago, IL)
- …daily/monthly/quarterly performance reporting from multiple views (by customer, product, broker , desk, etc.). + Gather and analyze relevant competitive intelligence ... and risk management teams. + Partner with business leaders (clearing, sales , technology, operations) to translate operational trends into financial outcomes and… more