- USAA (Phoenix, AZ)
- …in annuity and/or life insurance distribution through full-service brokerage and bank broker dealer firms. Excellent relationship management skills and ... level of business acumen in the areas of annuity business operations, broker dealer sales processes and paperwork, sales suitability, industry practices… more
- Brookfield Asset Management, Inc. (Chicago, IL)
- …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 acquired a majority interest in Oaktree Capital, a leader among global investment managers specializing in credit and other alternative investments. Together, Brookfield… more
- Cetera Financial Group, Inc. (Cleveland, OH)
- …aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… 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
- 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
- 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 ... and participate in all scheduled meetings as requested by management , maintain appointment availability as agreed upon for your...for review and approval. Ensure all Broker / Dealer and vendor outstanding requirements are satisfied.… more
- Vanguard Group, Inc. (Miami, FL)
- Broker Dealer Hybrid Sales, Senior Specialist...unique opportunity to join one of the largest asset management firms to cover the US Offshore market. Ideal ... in-person contact. Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of electronic and in-person… 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 ... needs. As a Private Client Advisor in Chase Wealth Management , you will offer comprehensive financial planning and advice...will be done with a consistent focus on relationship management , not portfolio management Demonstrate a deep… 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)
- …aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… 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 ... Officer and serves as the primary contact for customer relationship management and administrative account servicing. This position requires a strong understanding… more
- Cetera Financial Group, Inc. (Dallas, TX)
- …aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- JPMorgan Chase & Co. (Plano, TX)
- …organization with demonstrated insurance experience. Experience in insurance and broker - dealer matters, including knowledge of state insurance laws ... Job Description The US Wealth Management Legal team is seeking an attorney to...to support its dynamic annuities, life insurance and wealth management business, who thrives on partnership and problem solving.… 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 ... compliance experience, or related experience, with a large and diverse investment management firm serving in a compliance function. *An undergraduate degree is… more
- LPL Financial Holdings, Inc. (San Diego, CA)
- …everyone deserves objective financial guidance. As the nation's leading independent broker - dealer , we offer an integrated platform of cutting-edge technology, ... Job Overview: As the VP of Product Management for the Identity Access Management (IAM) product area, you will oversee the strategic direction, development, and … more
- Kestra Financial Independent Advisor (Cypress, TX)
- …in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... to the Lead Advisor and be the primary contact for customer relationship management and account servicing. This position requires a strong understanding of the… 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 ... savvy and can easily get up to speed on modern tech stacks and ticket management systems (ie, Salesforce Jira, etc.) Ownership - The pride you put into every aspect… 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 ... reports. Creates and maintains records and files utilizing Client Relationship Management (CRM) software. Ensures required client paperwork is current with firm… 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 ... the start, training you in valuable skills such as marketing, customer relationship management (CRM) and communication, and providing you with a development team and… more
