- Brookfield Asset Management, Inc. (Chicago, IL)
- …The Alternative Investment Regional Director (External Wholesaler) is responsible for the execution of all sales, service, and marketing related activities in their ... Location US IL - Chicago Business - Brookfield Oaktree Wealth Solutions Brookfield Asset Management, a leading global alternative asset manager, has an exemplary 100+ year history of owning and operating real assets and related businesses. In 2019, Brookfield… more
- USAA (Phoenix, AZ)
- …annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and demonstrated ... of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices and emerging… more
- Cetera Financial Group, Inc. (Cleveland, OH)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Advisor Employee Services (Denver, CO)
- …preparation and new business processing. Submit documents in their entirety to the Broker / Dealer for review and approval. Submit vendor documents to the vendor ... for review and approval. Ensure all Broker / Dealer and vendor outstanding requirements are satisfied. Confirm source of funds are received. Process urgent client… more
- Vanguard Group, Inc. (Miami, FL)
- Broker Dealer Hybrid Sales, Senior Specialist - US Offshore Our mission starts with you! Vanguard is seeking talented and driven individuals to join our new and ... Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of electronic and in-person communication.… more
- TD Bank Group (Lake Mary, FL)
- …role ensures all requirements are met for the successful settlement of foreign broker dealer transactions. Responsibilities Include Work with a team of ... operations employees to facilitate the daily settlement of foreign broker dealer transactions while mitigating risk. Cross-train in several areas of the… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- Cetera Financial Group, Inc. (San Diego, CA)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Pyramid Consulting, Inc. (Houston, TX)
- …to the purpose of serving clients Experience with Salesforce, managed investing and broker dealer platforms Understanding of user centric design in business, ... and business goals. Collaborate with cross-functional teams including advisory, broker - dealer , compliance, legal, operations, marketing and technology to… more
- JPMorgan Chase & Co. (Jersey City, NJ)
- …laws and regulatory requirements related to private banking, investment advisor, broker - dealer and fiduciary activities. Experience with internal audit ... manner Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities Strong interpersonal and influencing skills,… more
- Ultimate (Newport Beach, CA)
- Job Description KEY RESPONSIBILITIES *Support the development and implementation of the broker - dealer compliance program, working closely with members of the ... knowledge of regulatory requirements applicable to US investment managers and broker -dealers, including the Investment Advisers Act and FINRA Rules *Background in… more
- Altruist (Dallas, TX)
- …Experience 2+ years of customer support or call-center experience 2+ years broker - dealer operations or clearing firm experience Working knowledge of investing ... and what Registered Investment Advisors (RIAs) do on behalf of their clients Technical aptitude - You're technologically savvy and can easily get up to speed on modern tech stacks and ticket management systems (ie, Salesforce Jira, etc.) Ownership - The pride… more
- JPMorgan Chase & Co. (Azusa, CA)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Fulton Bank (Bethlehem, PA)
- …63 (or Series 66). (Required) Must be able to be affiliated with our Broker Dealer . (Required) Knowledge, Skills, and Abilities Knowledge of investment industry ... terminology. (Required) Knowledge of mathematics sufficient to process account and transaction information. (Required) Ability to use appropriate interpersonal styles and communicate effectively both orally and in writing with all organizational levels.… more
- StaffMyAgency LLC (Hempstead, NY)
- …disability income insurance and investment products such as mutual funds1 through our broker - dealer arm NYLIFE Securities LLC (member of FINRA and SIPC), a ... Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You'll also be able to specialize and gain expertise in different areas, such as by becoming a financial… more
- Kestra Financial Independent Advisor (Castle Rock, CO)
- …in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... to: equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration Series 7 and 63 preferred Series 65/66 preferred… more
- Hilltop Holdings (Dallas, TX)
- …returns, and meet investing objectives. As one of the nation's largest licensed broker - dealer clearing firms, we are focused on building long-term client ... individuals you serve. Our Clearing department supports more than 130 broker -dealers and Registered Investment Advisors who provide institutional and financial… more
- Societe Generale (Jersey City, NJ)
- …opinion on the control framework or the correct application of regulations on broker dealer operations. Strong audit skills and good knowledge of liquidity ... reporting, capital monitoring rules and FRB regulatory reporting. Product knowledgederivatives, loans, funding vehicles, currencies, fixed income, equity securities and commodities Ability to understand Banking & Investment business lines and able to challenge… more
- moomoo (Dallas, TX)
- …enhance your trading strategies. Note that this entity is not a licensed broker - dealer . For deeper insights into our entities and affiliates, explore ... stands at the forefront of financial services, housing two SEC registered broker -dealers alongside a cryptocurrency brokerage - all operating under the reputable… more
