- Atria Wealth Solutions (Williston, VT)
- …Vermont Life and Health Insurance Licenses a plus CFS (Member FINRA/SIPC) is a broker -dealer and RIA with a stable, 25-year track record of serving the investment ... the future of wealth management with the open-minded agility, senior -level access, and expert technology to get there. We...farther. We are ranked as one of the top broker -dealers in the industry and we work with some… more
- Amazon (Bellevue, WA)
- …Infrastructure is looking for a talented, driven, and highly analytical, Broker Operations Manager with demonstrated experience driving process improvement. This ... Manager will be responsible for on-going broker operations management and strategic development of the next...- Prepare and give detailed data-driven business reviews to senior management, focused on improving service level and associated… more
- Atria Wealth Solutions (Fort Worth, TX)
- …credit union members full-service financial planning and investment advice. CFS is a broker /dealer and RIA with a stable, 25-year track record of serving the ... country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker -dealer and RIA with a stable track record of serving the investment… more
- Zurich NA (Albany, NY)
- AVP, Energy Oil Gas Power Gen Underwriter 122303 Zurich is seeking an experienced Senior Energy Oil, Gas & Power Gen Underwriter, ( Senior Level III or AVP Level ... experience and skill set relative to the qualifications listed for this position. As a Senior Energy Oil, Gas & Power Gen Underwriter, (Sr. Level III or AVP Level… more
- KeyBank (Brooklyn, OH)
- …across Key's Asset Management activities (ie - wealth management and trust, broker -dealer, and swap dealer) and lines of business, products, and functional ... The Director must have comprehensive knowledge of wealth management, fiduciary/trust, broker -dealer, and investment management as well as a strong understanding of… more
- Vanguard (Malvern, PA)
- …leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker -dealer. This role oversees the operational effectiveness, risk management, and ... client segments with brokerage domain expertise. This includes representing Vanguard's broker -dealer to regulators (eg, FINRA, OCC) and overseeing numerous vendor… more
- HUB International (New York, NY)
- …HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services, ... & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker -Dealer: The Deputy Chief Compliance and Risk Officer, will be a highly… more
- Zurich NA (Olympia, WA)
- …30-40% travel with a company car for the Field Engineer role. Our Senior Property Field Risk Engineering Consultant responsibilities include: + Provide field risk ... + Provide engineering support to underwriting team by attending client broker meetings. + Perform field engineering services where necessary, primarily for… more
- Axis (Seattle, WA)
- …analysis and aligned with the company's strategic objectives. * Collaboration: Liaise with senior leaders, including the Regional Unit Leader and the Head of Excess ... business objectives. Work collaboratively to achieve shared goals. * Client and Broker Engagement: Maintain and develop strong relationships with key brokers and… more
- TD Bank (New York, NY)
- …and implement processes to streamline and standardize annual reporting to regulators across broker -dealers and swap dealers and draft relevant content + Act as a ... and metrics on remediation efforts to be delivered to senior management committees and the Board of Directors of...+ 7-10 years of experience with a registered US broker dealer, swap dealer, Global Systematically Important Bank (GSIB),… more