- SMBC (New York, NY)
- …as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function ... compliance support across the Advisory Function with respect to broker -dealer-applicable regulatory engagements, support function coordination, governance and reporting.… more
- PLACE (Marysville, WA)
- …Lead generate for 15 hours a week Conduct at least two open houses monthly Consult with buyers, convert with signed buyer agreements and identify homes Negotiate ... offers on behalf of your sellers and buyers Track tasks and activities in Brivity Technology Convert prospecting and lead generation activities to appointments Participate in weekly script practice per team standards Participate in team activities per team… more
- SMBC (New York, NY)
- …solutions to clients within the following industry sectors: Banks and Broker Dealers, Regulated and Alternative Investment Managers and Funds, Insurance Companies ... within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new business… more
- Post Holdings Inc. (St. Louis, MO)
- …office. **Responsibilities** **POSITION SUMMARY** Regional Sales Manager to lead multiple broker representatives to achieve financial and share objectives for PCB ... share growth across customer base + Accountable to ensure broker owns development of annual sales plans and execution,...trade management, inventory management, etc. + Train and develop broker sales representatives on PCB brands and process where… more
- Principal Financial Group (Kansas City, MO)
- …growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, Separately ... growing market share + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers… more
- BMS CAT (Wood Dale, IL)
- …+ 5+ years in sales leadership within the commercial insurance sector ( broker , carrier, adjuster, or consultant), preferably P&C and restoration adjacent. + ... commercial contracts. + Extensive senior relationships across insurance carriers and broker networks. + Deep knowledge of P&C coverages, claims processes,… more
- Principal Financial Group (Lake Oswego, OR)
- …new client accounts, managing account openings and asset movement requests with broker -dealer, and serving as a point of contact between financial professionals, ... investment account applications. Manage account openings and asset movement requests with broker dealer. + Utilize industry technology, such as Salesforce CRM and… more
- Home Depot (Atlanta, GA)
- …internal compliance standards. The candidate must possess a US Customs License Broker (LCB) certification. This position is fully remote and will temporarily report ... **Import Brokerage Oversight:** Oversee customs entry filings, classification reviews, and broker performance. Ensure brokers apply correct HTS codes, COO, and… more
- Figure Lending (Charlotte, NC)
- …Account Managers with a strong background in Non-QM lending to support our broker and correspondent partners from submission through funding. In the Third Party ... to internal QC or audit findings post-close. Deliver exceptional service to broker partners with regular status updates and proactive pipeline management. Identify… more
- Home Depot (Atlanta, GA)
- …Section 232, and other compliance PGA, and duty impact (WCO, WTO, ITC). + ** Broker Oversight and Trade Law Compliance** Review broker performance and processes ... degree in International Trade, Supply Chain, or related field. + Licensed Customs Broker (LCB) required. + 5+ years of operational experience in US Customs… more
- Principal Financial Group (Minneapolis, MN)
- …growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, Separately ... growing market share. + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker dealers… more
- Vaco by Highspring (Buckeye, AZ)
- …reviewing consolidated financial statements, coordinating financial reporting for broker -dealer subsidiaries, and collaborating with auditors to ensure compliance. ... statements, ensuring accuracy in disclosures. Coordinate financial reporting for broker -dealer subsidiaries, including footnotes and schedules. Develop monthly cash… more
- Principal Financial Group (Houston, TX)
- …Benefits area in Houston. In this role, you'll partner closely with the broker community to sell group employee benefit products (life, dental, disability, vision, ... you'll do: + Territory Development + Sales, Growth and Retention + Building Broker Relationships This position is also a phenomenal way to advance your career.… more
- Advice Pay (Bozeman, MT)
- …processes, you'll thrive in this role. You'll be a key resource to broker -dealers and RIAs looking to modernize and streamline how they run compensation, guiding ... one page!) AdvisorBOB, a core product at AdvicePay, helps RIAs and Broker -Dealers streamline advisor compensation. Our onboarding process is both strategic and… more
- HSBC (New York, NY)
- …Direct and navigate the liquidity teams covering entities in the US (Bank and Broker Dealer), Mexico, Chile and Brazil. You will have responsibility for setting the ... topics, including specific liquidity experience and a solid understanding of Broker Dealer activity + Experience of directing, engaging, motivating and leading… more
- HSBC (New York, NY)
- …Ideal candidates should have a strong knowledge of US securities laws, FINRA broker -dealer rules, and CFTC rules and regulations. A knowledge of regulations relating ... firm's risk + Leverage your experience by working at a US regulated broker -dealer, futures commission merchant, bank, and bank holding company, which are critical… more
- Home Depot (Atlanta, GA)
- …of short-term housing arrangements. Refer the associate to a network-affiliated broker who can provide support in identifying suitable housing options in ... permitted to work in the United States + Georgia real estate broker 's license or real estate salesperson license required **Preferred Qualifications:** + Working… more
- Eric Gerard Realty (Waxahachie, TX)
- Description We are currently seeking a highly motivated and detail-oriented mortgage broker to round out our well-established lending team. The successful applicant ... software *Up to date NMLS licensure or National Association of Mortgage Broker license or certification is required *Knowledge of loan process from origination… more
- DWS Group (New York, NY)
- …requirements and internal controls. Collaborate and build relationships with broker -dealer counterparties, issuers and other key industry stakeholders. Negotiate and ... execute trades with broker -dealers through low-touch and high-touch channels. Contribute to the enhancement of existing trading processes and utilize technologies to… more
- SMBC (Jersey City, NJ)
- …expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the team ... but not limited to reports such as the FRB reports, knowledge of broker -dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset classes… more
Related Job Searches:
Account Executive/broker II,
Associate Broker,
Associate Producer Broker,
Broker Assistant,
CBRE Broker Program,
Commercial Real Estate Broker,
Producer Broker,
Sp-associate Broker,
Sr Product Manager Broker,
Wholesale Insurance Inside Broker