- Arena Investors LP (Jacksonville, FL)
- …won't. Arena is looking to expand the team through the addition of a senior Compliance Officer. In this role, this individual will work closely with the compliance ... the Investment Advisers Act of 1940; . Support the CCO with FINRA broker -dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of… more
- Raymond James Financial, Inc. (Seattle, WA)
- …for clients' retirement plans and their participants. You will work directly with the Senior Consultants on those clients and as part of a larger team to ensure ... _About Raymond James:_ _RJA is an investment adviser and full-service broker -dealer dually registered with the Securities and Exchange_ _Commission. RJA_ _also… more
- Zurich NA (New York, NY)
- …with the organization's appetite, balanced with sound business opportunity. + Make broker /customer and on-sight calls with a planned and well-prepared purpose. This ... will be filled at either theHull & Marine Liability UnderwriterMid- Senior or Senior Level. The hiring manager.../ AMIM / or ARM a plus + Established broker relationships + Ability to effectively assess risk +… more
- Broadridge Financial Solutions (New York, NY)
- …process, from pre-qualification to completion. The position requires high-level interaction with senior management at both the client and Broadridge. + Follow a ... support during the sales process including legal, finance, product specialists, and senior management. Qualifications: + BS in business or related field, MBA… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the service experience for independent registered investment advisors and introducing broker dealers for the custodian and clearing services platform. Strategic ... and business structure of independent registered investment advisors and introducing broker dealers. + US financial regulations impacting custodian and clearing… more
- Zurich NA (Austin, TX)
- …either the Contract Surety Underwriting Officer, AVP level OR Contract Surety Senior Underwriting Officer, VP level. The hiring manager will determine the ... the organization's appetite, balanced with sound business opportunity. + Make agent/ broker /customer and on-sight calls with a planned and well-prepared purpose. +… more
- TD Bank (New York, NY)
- …control partners and the TDS front office. TD Securities is looking for a broker -dealer accountant to join its Product Control division in New York City. Associate - ... books and records and regulatory filings for its US broker -dealers as well as non broker dealers....deadlines while still providing a high-quality work product The Senior Finance Analyst TDS provides planning, forecasting, reporting and… more
- Zurich NA (Jefferson City, MO)
- Management Liability Underwriter 124507 Zurich is currently looking for a Senior Private/Non-Profit Management Liability Underwriter to join our Midwest team out of ... needs. This role will be filled at either the Mid- Senior or Senior Level. The hiring manager...effectively assess risk + Strong negotiation skills + Strong broker relationships + Superior skills in relationship building, active… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & ... creation. + Monitor and communicate program effectiveness to stakeholders and senior management to ensure program viability and coverage integrity. + Communicate… more
- Axis (Alpharetta, GA)
- …request for candidates taking part in the selection process. ** Senior Underwriter, Construction Professional** AXIS' Construction Contractors Professional team is ... of $25,000 to $75,000. Ideal candidates possess key retail and wholesale broker relationships and full life cycle exposure to portfolio management, including… more