- 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
- Vanguard (Malvern, PA)
- Broker / Dealer National Accounts, Product and Platform...offer to our clients. + Partners with aligned field sales teams to position sales ideas and ... Partnerships: + Interacts with the product and research teams at national broker /dealers to understand their priorities and position Vanguard's product offer with… more
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between...preparation of daily, monthly, and annual reports related to sales activities, income, expenses, and referrals. + Assist in… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... **Role Objectives** + Support the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt Complex… more
- Aegon Asset Management (Denver, CO)
- …opportunities to support the sale of Transamerica products. Manages relationships with broker - dealer through proactive and thoughtful sales planning. Job ... Job Family Business Development / Direct Sales About Us At Transamerica, hard work, innovative...services and positioning messages of Transamerica and convey to broker - dealer firms. + Foster relationships with key… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... and Oak Hill Advisors (OHA) in pursuit of driving sales . + This is a field sales ...+ Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are… more
- Guardian Life (New York, NY)
- …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
- Aegon Asset Management (Denver, CO)
- …changes, new competitor offerings, internal product changes, and changes to the way broker - dealer partners want to do business with Transamerica. + Facilitate ... Job Family Sales Support / Operations About Us At Transamerica,...to assigned regions to strengthen relationships, attend regional events, broker - dealer partner meetings, and regional events Compensation… more
- Principal Financial Group (Des Moines, IA)
- …this role, you'll oversee Principal Securities' centralized surveillance program supporting broker - dealer and registered investment adviser (RIA) supervision and ... in business or related field + 10+ years in broker - dealer and RIA supervision, surveillance, or compliance...Range Information** Salary ranges below reflect targeted base salaries. Non- sales positions have the opportunity to participate in a… 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, ... client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA, OCC) and overseeing numerous… more