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Experienced working in a Registered Investment Advisory firm or operations for a Securities Broker-Dealer. Familiar with paperwork and processes of Fidelity or Charles Schwab is a plus. We are looking to add a Client Service Associate to join our expanding team in our Thousand Oaks office.
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Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
Full-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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Facilitate new account set up at the custodial and broker dealer level; follow up on fund transfers. Research and follow up on any issues with the Broker/Dealer, WEG Operations, and vendors.
$45,000 - $55,000 a yearFull-timeExpandApply NowActive JobUpdated 23 days ago - UpvoteDownvoteShare Job
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The ideal candidate will have 3+ years of experience in the financial services industry allowing for a strong understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
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Compensation Range: $80,600 - $175,400 Similar Jobs (3) Audit Manager - Capital Markets/Broker Dealer locations New York time type Full time posted on Posted 10 Days Ago Audit Manager - Industrial Goods locations 2 Locations time type Full time posted on Posted 17 Days Ago Audit Manager - Lending locations 6 Locations time type Full time posted on Posted 30+ Days Ago.
$80,600 - $175,400 a yearFull-timeExpandApply NowActive JobUpdated 2 months ago - UpvoteDownvoteShare Job
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Our client is in the top 10 of U.S. Banks that is actively growing their national broker dealer network. FA’s utilize Relationship Advisory Process (RAP) – Financial planning model connecting to IRM. They are a full-service brokerage firm and clear through Fidelity NFS; Salesforce customized for prospecting clients.
Full-timeExpandApply NowActive JobUpdated 6+ months ago - UpvoteDownvoteShare Job
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We have relationships with BD's, RIA's & Independents. Advisors with niche business, they can partner with wealth advisors in their specialty groups (medical, legal, international business and sports & entertainment.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Together with its subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds1 through our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
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Reports and trends good order submission data in total and by Broker Dealer. Client Relationship Consultant will have close interaction with Operations team, Sales, Advisors and Broker Dealers working closely on daily processing and questions/research/attention items through automated workflow system (task manager/client workflow.
Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance. The ideal candidate will have 2+ years of experience in the financial services industry allowing for a good understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
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FINTECH/Financial Services/Broker Dealer. FINTECH/Financial Services/Broker Dealer. Fluent in English, Mandarin Chinese REQUIRED. An in-depth understanding of the firm's systems, client offerings, and client engagement models to anticipate and identify issues concerning system operation and maintenance.
Full-timeExpandApply NowActive JobUpdated 3 months ago - UpvoteDownvoteShare Job
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We are a mature advisory practice within the top 250 offices of our affiliate broker/dealer. The ideal candidate has a depth of industry experience in working with core affluent, high net worth and ultra high net worth individuals and families.
$75,000 - $150,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Companies of OneAmerica and is not a broker dealer or Registered Investment Advisor. companies of OneAmerica and is not a broker dealer or Registered Investment Advisor. Securities offered through OneAmerica Securities, Inc., a Registered Investment Advisor, Member.
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Must have an in-depth knowledge of the life insurance industry, life, DI, annuity products and/or broker dealer knowledge. Must have an in-depth knowledge of the life insurance industry, life, DI, annuity products and/or broker dealer knowledge.
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Meets FINRA requirements to retain SIE, Series 6 and 63 registrations, including but not limited to: annual training, understanding and complying with required reporting, and staying current on FINRA and broker dealer policies and procedures.
Full-timeExpandApply NowActive JobUpdated 3 months ago
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