- Capital One (Arlington, VA)
- …seeking a highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority ... Manager, Broker Dealer Accounting Does the idea...Responsibilities: Oversee monthly closes process Prepare internal & external financial statements and variance analysis Prepare regulatory filings (FOCUS… more
- Clear Street (New York, NY)
- …(FATCA), 61, 871(m), and 1446(f) rules among others Experience working within a broker - dealer , custodian, or financial institution Experience working within ... the brokerage ecosystem. Founded in 2018, Clear Street is a diversified financial services firm replacing the legacy infrastructure used across capital… more
- Marex (New York, NY)
- …of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity,...Plan in line with below responsibilities: Provide Compliance Advisory services to broker - dealer business lines.… more
- Larson Maddox (New York, NY)
- …Juris Doctor (JD) strongly preferred. 10+ years of progressive compliance experience in financial services , with deep knowledge of SEC and FINRA rules. ... A prestigious and well-established asset manager and broker - dealer , with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance… more
- CNA (Chicago, IL)
- …Financial Lines group arising under policies issued to our life agent, broker - dealer , and investment advisor, banking and insurance customers. These claims ... currently seeking a claim professional to handle professional liability claims for our Financial Lines claim group. The individual in this position will handle a mix… more
- Desert Financial Credit Union (Phoenix, AZ)
- …met as well as adhering to the written policies and procedures of the broker / dealer and the Financial Institution. Perform other job-related duties as ... will conduct business on behalf of the Investments & Financial Services program. What you will do...Financial industry experience required. 3+ years of Client Service /Support experience required. 1+ years of limited sales, phone… more
- USAA (Phoenix, AZ)
- …operations. 3 years of experience in annuity and/or life insurance distribution through full- service brokerage and bank broker dealer firms. Excellent ... our mission is to empower our members to achieve financial security through highly competitive products, exceptional service...more years of experience in annuity operations support and service , preferably within a broker - dealer … more
- Raymond James Financial, Inc. (Bethesda, MD)
- …Knowledge of *Concepts, practices and procedures of business development in a financial services / broker - dealer environment. *Investment concepts, ... a team environment. *Provide a high level of customer service . *Maintain currency in financial services...level of customer service . *Maintain currency in financial services industry and products. Education/Previous Experience… more
- Lincoln Financial (Broomall, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... #: 74811 The Role at a Glance As the Financial Services Sales Representative for MoneyGuard, you...clients. This is a consultative phone-based position responding to broker inquiries received via inbound calls. You will answer… more
- Lincoln Financial (Hartford, CT)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... volume. What's it like to work here? At Lincoln Financial , we love what we do. We make meaningful...including annuities, life insurance, group protection, and retirement plan services . With our 120-year track record of expertise and… more
- Lincoln Financial (Broomall, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... of talent *Monitor budget and ensure work is tracked appropriately for financial reporting purposes *Share weekend on-call rotations What we're looking for… more
- Lincoln Financial (Broomall, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... regulations (such as privacy and anti-money laundering regulations). *Strong knowledge of financial services , specifically the insurance industry and the key… more
- Marex (New York, NY)
- …implementing Annual Compliance Plan in line with below responsibilities: Provide Compliance Advisory services to US Broker Dealer business lines. Complete or ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity,...assist in completing US Broker Dealer related regulatory inquiries. Complete or… more
- Lincoln Financial (Broomall, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... volume. What's it like to work here? At Lincoln Financial , we love what we do. We make meaningful...including annuities, life insurance, group protection, and retirement plan services . With our 120-year track record of expertise and… more
- Lincoln Financial (Broomall, PA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... Experience 7+ Years attorney preferably either at a law firm or financial services company 1+ 3 Years of Insurance, and AI and/or relevant technology-related… more
- Lincoln Financial (Los Angeles, CA)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... What we're looking for Must-Haves 3-5 years' external sales experience in the financial services industry that directly aligns with the specific responsibilities… more
- Atria Wealth Solutions (Allentown, PA)
- Through its relationship with CUSO Financial Services , L. P. (CFS) First Commonwealth Federal Credit Union is seeking a Financial Advisor to provide ... but are not limited to, the following: Identifies and evaluates customer needs for financial services , assess the objectives and goals of the individual, then… more
- Advisor Group (Fort Lauderdale, FL)
- …Office (Outlook, Word, Excel, PowerPoint) & Adobe Acrobat (Standard) Preferred Requirements: Financial Services experience preferred FINRA Series 7 and/or 65 ... integrity of client asset record system and vendor lists Interfaces with broker / dealer , brokerage, fund companies, custodians and insurance companies as… more
- CCG Business Solutions, LLC (Washington, DC)
- …career placement. The Talent Management Division is currently seeking a Fintech & Financial Services Associate - Securities Law. Job Description CCG is excited ... offer the opportunity to join a growing and creative financial services practice in a firm that...they have more on-point experience. Knowledge of investment adviser, broker - dealer , and/or other securities and commodities regulations,… more
- Northwestern Mutual (Atlanta, GA)
- …(NLTC), Northwestern Mutual Investment Services , LLC (NMIS) (Investment Brokerage Services ), a registered investment adviser, broker - dealer , and member ... Overview Becoming a financial advisor at Northwestern Mutual is a unique...*Asset & Income Protection *Education Funding *Investment & Advisory Services *Trust Services *Retirement Solutions *Business Needs… more
