- Principal Financial Group (Baltimore, MD)
- …in growing advisor relationships. Accountable for achieving sales targets and managing broker dealer relationships within all channels covering our ETF's, ... Separately Managed Accounts and Mutual Funds. **Other responsibilities will include:** +...share + May provide input on marketing, product development, shareholder/ broker communications and integration of campaigns with broker… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, self-motivated, and highly organized ... submissions, review and distribute new hire documents (compliance manual, brokerage account disclosure policy, code of ethics affirmation), review background checks… more
- Vanguard (Malvern, PA)
- Broker / Dealer National Accounts , Product and Platform Partnerships: + Interacts with the product and research teams at national broker /dealers to ... At least two years of working within intermediary advisor distribution. National accounts experience preferred. + Undergraduate required. Graduate degree… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …limited to Middle Office, Compliance, IT, Trading, Accounting; Fifth Third Securities' Broker Dealer , National Financial Services/Pershing, and other ... Fifth Third Money Market Navigator platform. + Accurately codes new brokerage account client relationship profiles for books and record keeping purposes. + Performs… more
- Vanguard (Malvern, PA)
- …existing relationships with distributors, advisors, and other intermediaries in the Broker Dealer channel through predominantly electronic and telephone ... in-person contact. + Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of electronic and in-person… more
- Guardian Life (New York, NY)
- This is an exceptional chance to join Guardian Life as a Broker - Dealer Operations Specialist and be a key player on our Park Avenue Securities team! You will ... partners on various functions including advisor as portfolio manager, multi- account /strategy proposals, and trading methodologies + Proactively and reactively… more
- Marex (New York, NY)
- …[do not delete]. The US Onboarding team is responsible for facilitating the account opening process across a number of different entities in the United States. ... + Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies. + Data entry of client & account … more
- Truist (Nashville, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... supervisory functions mainly focus on the review and acceptance of new accounts introduced to the firm, money movement and trade corrections. Responsible for… more
- Atria Wealth Solutions (King, NC)
- …the rules and regulations set forth by the credit union, FINRA, SEC and the broker / dealer . + Accountable for meeting annual business plan and production goals. + ... and registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and RIA with a stable track record of serving the investment… more
- ServiceNow, Inc. (New York, NY)
- …onboarding, complaints, fraud and disputes management to decedent, trade exceptions, broker / dealer servicing, etc -to execute **uniform information, predictive ... experience, intelligent service operations, etc). Provide critical, industry-specific input during account planning, ensuring target accounts and use cases are… more
- Principal Financial Group (Addison, TX)
- …account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM and ... professionals, accurately onboarding new client accounts , managing account openings and asset movement requests with broker... account openings and asset movement requests with broker - dealer , and serving as a point of… more
- ADP (Florham Park, NJ)
- …Administrator plays a critical operational and support role within the broker - dealer 's compliance department. This position ensures accurate and timely ... Forward checks received by the firm to the designated broker - dealer lockbox. + Serve as the primary...approval from the Chief Compliance Officer for associate financial accounts and notify financial institutions of account … more
- PNC (Pittsburgh, PA)
- …all geographic locations. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... Authority). * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… 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 ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- Insight Global (San Francisco, CA)
- …confidence running product demos. -Experience selling to financial advisors, RIAs or broker - dealer networks (strong plus). -Willingness to grow with a scaling ... Job Description A client is seeking Remote Account Executives to join their growing team. In this role, You'll work closely with SDRs who are focused on generating… more
- TD Bank (New York, NY)
- …preparation and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure ... Operations for testing and application. + Manage chart of accounts and mapping. + Prepare and assist with quarterly/annual...under US GAAP and IFRS. + Ensure adherence to account reconciliation and attestation policies; liaise with Operations &… more
- City National Bank (New York, NY)
- …to Investment Management and Fiduciary activities * Investment management experience ( Broker / Dealer (FINRA) and RIA (SEC) required * Strong interpersonal, ... brokerage practices, preventing self-dealing, and managing fiduciary assets. * Fiduciary account administration: Manage the administration of all trust and fiduciary… more
- Truist (Richmond, VA)
- …activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review ... supervisory functions that are routinely associated with those of a retail broker / dealer . **Essential Duties and Responsibilities** Following is a summary of… more
- Huntington National Bank (Columbus, OH)
- …or related experience Preferred Qualifications: + Bachelor's Degree + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + Proven ... for identifying, researching, analyzing and resolving complex problems with accounts . + Coordinate and process account onboarding/maintenance documentation… more
