- Securities and Exchange Commission (Washington, DC)
- …Lead an office responsible for IT security examinations at SROs, broker -dealers, or investment advisers, conduct assessments of registrant compliance with applicable ... statute and regulation, and prepare written reports of findings; Develop policies, guidelines, and standards for assessing the planning, development, integration, implementation, and evaluation of information technology systems and subsystems consistent with… more
- TEKsystems (Alpharetta, GA)
- …configuration tools. Support the Vega platform roadmap, including new features like Broker Block, which enables brokers to bulk-import client lists. Collaborate with ... cross-functional teams to optimize the HRO sales process and improve platform performance. Troubleshoot and resolve production issues, ensuring minimal disruption to business operations. Participate in code reviews, testing, and deployment activities using… more
- Charles Schwab (Omaha, NE)
- …teams + Accounting and/or Asset Liability Management knowledge + Knowledge of broker dealer and bank risk management capabilities + Exceptional / pragmatic business ... judgment combined with outstanding communication and relationship skills + Hands-on knowledge using tools such as SQL, Python, Tableau and Alteryx. + Competent in Agile values, principles, and the Scrum framework. Experience with Agile planning tools such as… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker -dealer or investment adviser + Proactive, self-motivated, and highly organized + ... Strong interpersonal, oral, and written communication skills + Understanding of FINRA, SEC, and state registration/licensing requirements + Excellent computer skills (Excel, Microsoft Office Suite, Workday) + Skilled at managing multiple deadlines and… more
- Comerica (Dallas, TX)
- …Institutions and Non-Bank Financial Institutions, including Payroll Providers, Broker Dealers, Title/Escrow companies, and Fintech organizations. Position ... Responsibilities: Sales Production: Increase the Bank's profitability by cultivating new business relationships. Maintain and develop customer relationships, new business, and periodic risk reviews of the portfolio. Negotiate proper structure of non-credit… more
- Broadridge Financial Solutions (Richmond, VA)
- …delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge, ... we are committed to making a difference (https://www.broadridge.com/about/sustainability/) . Our unique culture is guided by the Service-Profit Chainthe idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation… more
- Charles Schwab (Lone Tree, CO)
- …skills with the ability to build cross-organizational relationships; ability to maintain broker relationships and negotiate trade executions + Proven ability to work ... cross-functionally and influence stakeholders at all levels + Strong attention to detail, analytical and problem-solving abilities + Bachelor's degree required; Master's degree preferred **Three Critical Success Factors for the Role** + Ability to work… more
- HUB International (Chicago, IL)
- …Skills** + **Must have a minimum of 7** **years total of broker commercial insurance claims handling experience.** + **Preferred hospitality claims handling ... experience** + Client interfacing experience required + P&C Licenserequired or to be obtained within 90 days of hire + Knowledge and/or experience with workers compensation, property and casualty (preferably experience is non-management lines) + Aware of… more
- HUB International (Brentwood, TN)
- …centers of excellence. HUB is a global insurance and employee benefits broker , providing a boundaryless array of property, casualty, risk management, life and ... health, employee benefits, investment and wealth management products and services. With over 17,000 employees in more than 650 offices throughout North America, HUB has grown substantially, in part due to our industry leading success in mergers and… more
- World Insurance Associates, LLC. (Mount Laurel, NJ)
- …recommendation. Qualifications + Minimum of 5+ years' experience with mid-large broker experience and self-funded knowledge. + Bachelor's degree in a ... business-related program or equivalent education and/or experience in the insurance industry. + Life/Health insurance license (or the ability to obtain necessary licensing immediately) required. + Strong Project Management skills, comfortable leading client… more