- BlackRock (Princeton, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to Broker Dealer policies, Training Materials, and Certifications + Various on-going ... this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's compliance… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... OTC Markets Group Inc Associate , Investor Access OTC Markets Group - New...and enhancements. + Client Support: Guide VIC clients through onboarding and provide ongoing support and communication post-conference. +… more
- BlackRock (New York, NY)
- …rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker - dealer , mutual fund, or ETF business with 1+ years advertising ... **About this role** ** Associate , Global Product Solutions ETF Regulatory Marketing Review**...on this hybrid model to accelerate your learning and onboarding experience here at BlackRock. **About BlackRock** At BlackRock,… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …in a client service or operations role within a financial services firm (RIA, broker - dealer , custodian, or bank) + Strong communication and follow-through with a ... Description Client Service Associate Walnut Creek, CA | In-Office Preferred (Hybrid...contact for clients and play an integral role in onboarding , account maintenance, and ongoing service. You'll partner closely… more
- Huntington National Bank (Chicago, IL)
- …Services or related experience within Preferred Qualifications: + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + ... Description The Institutional Sales Support Associate plays a vital role in delivering exceptional service and operational support to institutional sales… more
- TD Bank (New York, NY)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities ... details for this role. **Line of Business:** TD Wealth **Job Description:** The Associate Private Client Relationship Manager (ARM) is a high-touch point of client… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …experience, preferably in financial services or wealth management. + Familiarity with broker - dealer platforms; experience with LPL is strongly preferred. + ... in Walnut Creek, CA is seeking a Client Service Associate to join its growing team. This firm is...inquiries regarding financial products and services. + Support client onboarding and ensure a smooth transition for new clients.… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …service experience, preferably in financial services or wealth management + Familiarity with broker - dealer platforms (experience with LPL is a plus) + Strong ... boutique financial advisory firm is seeking a Client Service Associate to join its close-knit, client-focused team. With a...across a range of financial services + Support client onboarding and ensure a smooth transition for new clients… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …service experience, preferably in financial services or wealth management + Familiarity with broker - dealer platforms (experience with LPL is a plus) + Strong ... boutique wealth management firm is seeking a Client Service Associate to join its growing team. With a strong...updates, wire transfers, and rollover requests + Support client onboarding and ensure a smooth, welcoming experience + Process… more
- Robert Half Finance & Accounting (Walnut Creek, CA)
- …and firm policies + Punctuality and reliability Preferred: + Experience with broker - dealer platforms (eg, LPL) + Familiarity with financial products and ... are looking for a proactive and detail-oriented Client Service Associate to join our growing team. This role is...beneficiary changes, wire transfers, and rollovers + Support client onboarding and ensure a smooth, welcoming experience + Process… more
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