- HUB International (Omaha, NE)
- …HUB, we value education, innovation, and continuous learning, and we're excited to support you on your career journey. As a **Commercial Lines** **Account Manager,** ... and insurance carriers to resolve service issues. + Follow HUB's Broker Standards policies and procedures. + Additional duties as assigned. **Qualifications:**… more
- Guardian Life (Atlanta, GA)
- …operational processes, possess a broad understanding of sales incentive plans and broker commissions, preferably within the Group Benefits industry. This person must ... and decisions and ensure compliance at all levels. + Support the Head of Group Benefits Distribution Compensation &...degree and 10+ years of experience in sales compensation, broker commissions, sales incentives, or related fields, with at… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …reviews of third party asset managers and service provider operational support , internal controls, trade processing, and employees. * Evaluate accounting and ... of funds on the Raymond James platform. * Actively support the AIG product teams' efforts to ensure platform...**Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and similar firms… more
- Principal Financial Group (Washington, DC)
- …growing market share. + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers ... experiences, backgrounds, and talents of our employees. And we support our employees the same way we support... support our employees the same way we support our customers: with comprehensive, competitive benefit offerings crafted… more
- Guardian Life (Nashville, TN)
- …+ Review additional materials and conduct interviews, as needed, to support risk-based testing methodologies or follow-up on potential business risk exposures. ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker -dealer and registered investment advisor compliance experience, with experience at an… more
- Neuberger Berman (New York, NY)
- …ensure operational processes, governance structures, and risk management practices support both regulatory requirements and business objectives, while maintaining a ... highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the...mental, verbal or physical. We do not tolerate the support of terrorist groups, acts of terrorism, or threats… 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 ... of finance and accounting, particularly in the bank and broker -dealer space; + Good SQL and Excel Skills; +...Maintaining internal procedures and documentation for liquidity reporting. + Support testing teams in preparing test scripts and validate… more
- JPMorgan Chase (New York, NY)
- …striving to be best-in-class. As a Lead Credit Officer on the Banks and Broker Dealers team, you will leverage your analytical abilities and industry knowledge to ... make and support credit decisions for a diverse portfolio of clients....to a client base consisting of North American Banks, Broker Dealers, Fintechs, Credit Unions, Card Processors, and other… more
- AON (New York, NY)
- …time. + Results oriented. + Proficiency with Word, Excel, Power Point. + Broker 's license + 10+ years of insurance experience are highly preferred. Preferred ... degree or equivalent experience in related field How we support our colleagues In addition to our comprehensive benefits...oriented. + Proficiency with Word, Excel, Power Point. + Broker 's license + 10+ years of insurance experience are… more
- Vanguard (Malvern, PA)
- …standards. + Leading centralized supervision and audit engagement strategies that support front line teams, reinforce policy adherence and identify emerging ... training and experience. Graduate degree preferred. + Deep expertise in broker -dealer supervision and relevant supervisory control regulations. + Strong knowledge of… more