- 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
- 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 (Bethlehem, PA)
- 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
- 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
- Wells Fargo (Wilkes Barre, PA)
- …for appointments with new or prospective clients + Establish and service client accounts , prepare forms, research account inquiries and/or issues + May also ... expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- PNC (Pittsburgh, PA)
- …Senior preference would be to have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses are preferred or willingness to ... full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life… more
- PNC (Pittsburgh, PA)
- …The Compliance Program Advisor should have the following: * Capital Markets and or Broker Dealer experience * FINRA regulatory licenses (series 24 or 53) are ... full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life… more
- PNC (Pittsburgh, PA)
- …web applications for Derivatives (Rates, Currency, Commodities, Credit) and Fixed Income broker - dealer trading and sales teams. you will be based either ... full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life… more
- PNC (Pittsburgh, PA)
- …be based in Pittsburgh, PA. In this role, you will provide support within the Broker - Dealer Accounting and FINOP team, including but not limited to: * Assist ... full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life… more
- Santander US (Conshohocken, PA)
- …defined on a quarterly basis. * Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of investment ... of other bank products and services such as deposit accounts and loans. * Attend and actively participate in...to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any… more
- Wells Fargo (Spring House, PA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information… more