- Citizens (Westwood, MA)
- …function, will be responsible for: + Reviewing and approval of all broker dealer marketing and advertising materials submitted for use by the retail ... insurance regulatory requirements pertaining to marketing and advertising in a retail broker / dealer ...marketing and advertising in a retail broker / dealer environment. + Knowledge of compliance related… more
- MassMutual (Boston, MA)
- … material submitted by Home Office business partners from areas such as Marketing and the Broker Dealer /Corporate Registered Investment Adviser (MML ... related. We also review all material created by our Broker Dealer and Corporate Registered Investment Adviser...to its brand promise and improve the customer experience, advertising and marketing material must be reviewed… more
- Atria Wealth Solutions (Marion, IN)
- …registered through CUSO Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker / dealer and Registered Investment Advisor with a stable track record of ... to members. + Assist in the development of a marketing plan for products and services offered through Credit...CFS, please visit www.cusonet.com. CFS (Member FINRA/SIPC) is a broker - dealer and Registered Investment Advisor with a… more
- Brokers International (Urbandale, IA)
- …taking BI on a new journey of accelerated growth and success. The Role Our Broker Dealer , Brokers Financial, is looking for a Compliance Analyst. The person in ... and supervise the compliance procedures and the overall supervisory structure of the Broker - Dealer and RIA. As such, the Compliance Analyst will be instrumental… more
- Lincoln Financial Group (Westlake Village, CA)
- …appropriate. * Participating in unit and departmental meetings, training sessions, and broker / dealer development forums. * Performing and delivering on routine ... and overnight packages, receiving and reviewing incoming mail, tracking expenses, advertising submittals, daily maintenance of equipment and other tasks as needed.… more