- 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 ... audits and regulatory examinations related to registration and licensing \#LI-MB1 \#LI- HYBRID Compensation Details The salary range for this role is… more
- Vanguard (Malvern, PA)
- …existing relationships with distributors, advisors, and other intermediaries in the Broker Dealer channel through predominantly electronic and telephone ... communication (75%) as well as some field sales activity (25%) for medium to high value clients...Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of… more
- Vanguard (Malvern, PA)
- Broker / Dealer National Accounts, Product and Platform...offer to our clients. + Partners with aligned field sales teams to position sales ideas and ... Partnerships: + Interacts with the product and research teams at national broker /dealers to understand their priorities and position Vanguard's product offer with… more
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between...preparation of daily, monthly, and annual reports related to sales activities, income, expenses, and referrals. + Assist in… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... **Role Objectives** + Support the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt Complex… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... OTC Markets Group Inc VP, Sales and Business Development Lead - Market Data...Please note OTC Markets is currently operating in a hybrid work environment (three days in office, two days… more
- Charles Schwab (Westlake, TX)
- …applications; + Basic knowledge of finance and accounting, particularly in the bank and broker - dealer space; + Advanced skills in Excel; + Knowledge of Python or ... to optimize the execution of term borrowings across the Broker - dealer and Parent entities to support the...metric + Work closely with TCM on investments and sales opportunities ensuring optimal deployment of excess liquidity while… more
- Charles Schwab (Westlake, TX)
- …Director will function as part of a small team supporting Schwab's broker - dealer and investment advisory products, services, and sales channels for Schwab's ... for a Director, Legal Counsel to support multiple retail-focused broker - dealer and investment adviser business units and...build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment… more
- BlackRock (Boston, MA)
- …positioning BlackRock's suite of AI products with advisors across the Wirehouse, Independent Broker Dealer , and RIA segments. They will be focused on delivering ... **About this role** **Role Description** BlackRock USWA Alts Sales is a specialized sales force...be there for the people you care about. **Our hybrid work model** BlackRock's hybrid work model… 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 ... and Oak Hill Advisors (OHA) in pursuit of driving sales . + This is a field sales ...+ Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are… more
- Guardian Life (New York, NY)
- …standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the ... insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience,...you will report to the Compliance Leader. **Location** + Hybrid role: 3 days a week in the office,… more
- Aegon Asset Management (Denver, CO)
- …changes, new competitor offerings, internal product changes, and changes to the way broker - dealer partners want to do business with Transamerica. + Facilitate ... Job Family Sales Support / Operations About Us At Transamerica,...to assigned regions to strengthen relationships, attend regional events, broker - dealer partner meetings, and regional events Compensation… more
- Vanguard (Malvern, PA)
- …leading Margin, Securities Lending, and Asset Servicing for Vanguard's retail broker - dealer . This role oversees the operational effectiveness, risk management, ... client segments with brokerage domain expertise. This includes representing Vanguard's broker - dealer to regulators (eg, FINRA, OCC) and overseeing numerous… more
- Vanguard (Malvern, PA)
- …The ideal candidate will have expertise and knowledge in financial markets and broker - dealer products and services, along with brokerage and banking regulations ... all aspects of the Cash Management business, including strategy, sales , marketing, operations and risk management. + Advise on...4 years of related experience required + Knowledge of broker - dealer and banking regulations + Experience and… more
- Charles Schwab (Sacramento, CA)
- …B2B sales experts who focus on large and complex advisors, independent broker dealer reps and trust/bank professionals. You will partner with internal ... and trading support for independent fee-based investment advisors is looking for a sales person like you! Our heritage of serving advisors by bringing them the… more
- Navy Federal Credit Union (Lacey, WA)
- …business relationships with members and internal/external sources + Execute customer and broker purchase/ sales orders of securities for current/new clients + ... outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... to join its Infrastructure and Public team and work hybrid (4 days in-office) from its New York City...national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and… more
- BMO Financial Group (New York, NY)
- …Compliance ("FICC") team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... **Please note that this is a hybrid work arrangement - 3 days in the...and examinations. + Provides regulatory perspective on business group's sales and marketing materials. + Anticipate/ identify and analyze… more
- Aegon Asset Management (Cedar Rapids, IA)
- …Power . Preferred Qualifications: + Professional experience with a retail Broker - Dealer and/or Insurance/Annuity distribution organization + Product knowledge ... and Transamerica Financial Advisors (TFA). The Sr Financial Analyst partners with sales leaders and other key stakeholders to deliver organic opportunities to grow… more
- Charles Schwab (Westlake, TX)
- …well-established firms. Hundreds of large financial advisors from the wirehouse, independent broker dealer , and other channels decide to make the transition ... Have a combination of 7+ years of experience in sales , relationship management, consulting or other client facing roles...build the skills to make a lasting impact. Our Hybrid Work and Flexibility approach balances our ongoing commitment… more
