- Vanguard (Malvern, PA)
- …existing relationships with distributors, advisors, and other intermediaries in the Broker Dealer channel through predominantly electronic and telephone ... communication (75%) as well as some field sales activity (25%) for medium to high value clients...Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of… more
- Guardian Life (Bethlehem, PA)
- …standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the ... insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience,...you will report to the Compliance Leader. **Location** + Hybrid role: 3 days a week in the office,… more
- Vanguard (Malvern, PA)
- …theories and experience in applying risk management concepts. + Knowledge of the broker dealer and distribution practices + Experience in line of defense ... Overview:As the Risk Director, Sales and Client Management you will have the...our best. How We Work Vanguard has implemented a hybrid working model for the majority of our crew… more
- Vanguard (Malvern, PA)
- …The ideal candidate will have expertise and knowledge in financial markets and broker - dealer products and services, along with brokerage and banking regulations ... all aspects of the Cash Management business, including strategy, sales , marketing, operations and risk management. + Advise on...4 years of related experience required + Knowledge of broker - dealer and banking regulations + Experience and… more