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3-5 years of broker-dealer line of business compliance coverage experience; investment banking, capital markets and/or control room experience a plus. Identify, analyze and address compliance matters relevant to both core broker-dealer and IB-specific policies, procedures and regulations.
$120,000 - $140,000 a yearFull-timeExpandApply NowActive JobUpdated 12 days ago - UpvoteDownvoteShare Job
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Escalation point for Broker Dealer, Investment Bank, Sales, Research and Trading and Mergers & Acquisitions onboarding questions. Manage customer onboarding and KYC for Capital One Financial Broker Dealers.
Full-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
$45,000 - $55,000 a yearExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Maintain compliance with all applicable bank, broker/dealer, State and Federal regulations associated with the sale of investment and insurance products including Santander Policy Statement governing the sale of uninsured products.
Full-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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The Financial Services Group provides services to private equity, hedge fund, broker dealer, fund to funds, and real estate fund clients. The Financial Services Group provides services to private equity, hedge fund, broker dealer, fund to funds, and real estate fund clients.
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Front Row is an entertainment broker that specializes in insuring: Feature Films, TV Series, commercials, documentaries, and more. Cultivate client relationships by providing a consistently exceptional client experience from sales to service.
Full-timeExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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Our client, a top 25 Property & Casualty Insurance Broker, is seeking an experienced. Personal Lines Insurance Producer/Business Development (High Net Worth/Private Client) This position will report to the NYC office, however the position is fully REMOTE. Our client is looking for a hunter and preferably someone who has prior experience working with and interacting with affluent clientele.
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As the Inside Sales Specialist, you'll closely support a fast-paced, Regional Sales Team. During non-peak enrollment times, alongside your regular duties, you will collaborate with the Sales & Marketing team to expand and develop broker relationships; prospect "warm" leads; and strategize account growth with the team.
RemoteExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Classify commodities under the Harmonized Tariff Schedule (“HTS”), and audit current classifications being used by Illuminate’s customs broker. Minimum of (2) two years of experience with a customs broker or supply chain logistics; (5) five years of experience preferred.
ExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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We have assignments available to help our Property & Casualty independent retail broker clients in Commercial Lines for Account Manager positions. 10 most current years of Commercial Lines Property & Casualty insurance experience.
RemoteExpandApply NowActive JobUpdated 13 days ago - UpvoteDownvoteShare Job
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As the Broker Manager you will be responsible for the success, engagement and production of our independent agents. Responsible for a territory, manage contacts Execute on market / region sales goals and objectives (sales events, training, etc)Meet or exceed sales objectives through broker channel.
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Join our friendly team at the Windermere Real Estate office in your area as a Real Estate Broker. At Windermere Real Estate, we believe that being a Real Estate Broker is more than just a job, it's a true calling.
$75,000 - $100,000 a yearFull-timeExpandApply NowActive JobUpdated 3 days ago - UpvoteDownvoteShare Job
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Securities and advisory services are offered through Cetera Advisor Networks LLC, member FINRA/SIPC, a broker-dealer and registered investment adviser. Securities and advisory services are offered through Cetera Advisor Networks LLC, member FINRA/SIPC, a broker-dealer and registered investment adviser.
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As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services.
ExpandApply NowActive JobUpdated 8 days ago - UpvoteDownvoteShare Job
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FINRA employees are required to disclose to FINRA all brokerage accounts that they maintain, and those in which they control trading or have a financial interest (including any trust account of which they are a trustee or beneficiary and all accounts of a spouse, domestic partner or minor child who lives with the employee) and to authorize their broker-dealers to provide FINRA with duplicate statements for all of those accounts.
ExpandApply NowActive JobUpdated 9 days ago
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