- CalSTRS (Sacramento, CA)
- …effective working relationships with key internal and/or external stakeholders (eg senior management, control agencies, etc.) in order to facilitate accomplishing a ... Branch, you will be required to disclose your personal broker account information and be required to utilize a...account information and be required to utilize a personal broker from a designated list as provided by CalSTRS.… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance + ... of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Supervisory + Responsibilities: None Knowledge, Skills, and/or… more
- Charles Schwab (Westlake, TX)
- …planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ratios including the ... ensuring compliance at all times, and escalating issues to senior management as necessary. We work with internal and...of finance and accounting, particularly in the bank and broker -dealer space; + Good SQL and Excel Skills; +… more
- UMB Bank (Kansas City, MO)
- …a single relationship for their banking and HSA needs. As a Healthcare Services Senior Account Executive for our Client Experience team you will operate as the ... trusted advisor. + You will assess and identify a prospect/ broker 's current needs to sell and provide ongoing account...act as primary point of contact the employer and broker , working with UMB's various systems (including but not… more
- SMBC (New York, NY)
- …President - Audit Manager with a minimum of 8 years of experience in the broker dealer & financial industry to work within the Internal Audit Department. The Audit ... credit complex etc.) * Effectively communicate with stakeholders and audit senior management to clearly articulate issues, root causes, and corrective measures.… more
- USG Insurance Services, Inc. (Arlington, TX)
- …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. ... Production teams and be responsible for tasks assigned by a Senior Production Assistant, Executive Production Assistant, Production Assistant, or designated… more
- The Cigna Group (Newton, MA)
- …plan focused on dental and vision. Plan should be focused on broker development, prospecting and building a strong market presence. Collaborate with aligned ... Monthly Business Review sessions with matrix partners, review pipeline, discussion broker development plans and prospecting efforts. Use this meeting to discuss… more
- NatWest Markets (Stamford, CT)
- …example, adapting management style to suit team members and collaborating with senior managers to effectively deliver operational processes, manage risks and problem ... regulations and best practice first line procedures and processes for a US broker -dealer. + In-depth knowledge of pre-trade client onboarding processes related to US… more
- GuideOne Insurance (West Des Moines, IA)
- The SVP, Head of Distribution and Business Development, is a senior executive responsible for driving overall distribution strategy, profitable growth and ... Lead segmentation and establish consistent rules of engagement (eg, broker -of-record, selective access models) to strengthen underwriting effectiveness. + Cultivate… more
- Austin Industries (Irving, TX)
- …manage Employee-Owner drivers, independent contractor owner-operators, and third-party broker drivers, supporting efficient and compliant trucking operations across ... regulatory compliance of all driver types (Employee-Owner, Owner Operators, and Third-Party Broker drivers), with federal and DOT trucking regulations + Works with… more