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Coordinate with Consultant Relations and Broker Dealer RM to develop firm specific campaigns. Identify opportunities to differentiate Voya using quantifiable data, consultant tendencies, competitor capabilities, and the nuance of the advisor and/or firm.
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Keep up to date with emerging trends and technologies in the Wealth Management (specifically Broker-Dealer, RIA, and Asset Management), Retirement, Workplace Benefits and recommend changes and improvements as needed.
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7+ years of advanced SQL Server development and support experience in an asset management firm, hedge fund, or broker/dealer, with consummate business knowledge in distribution, sales, and marketing.
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General Description: The Broker Dealer Compliance Specialist is responsible for gathering, organizing, analyzing, and distributing materials used by Compliance Department and line management in the execution of their duties designed to maintain the firm's compliance with federal, SRO, and state securities regulation.
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As member of the AMG, you will be responsible for approving broker dealer, financial institutional, corporates and retail client new accounts, daily; IBHK AMG is accountable for maintaining high quality client data to our sophisticated retail customers, HNWI, financial advisors, hedge fund operators, corporates, and other broker-dealers.
ExpandApply NowActive JobUpdated 11 days ago - UpvoteDownvoteShare Job
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Buell Securities is a full-service broker-dealer and Registered Investment Advisor located in Glastonbury, CT. Established in 1921, Buell boasts one of the longest successful operating histories of any New England financial firm.
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Experience overseeing SEC and other regulatory exams, as well as working with broker dealer examiners. Previous FINRA/BD experience, including a Series 24, preferred. 10+ years of general compliance experience, with most recent experience being with an RIA firm $2B or larger.
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Minimum of 3+ years of related industry experience (Registered Investment Advisor or Broker/Dealer) Minimum of 3+ years of related industry experience (Registered Investment Advisor or Broker/Dealer.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
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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.
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Deep Experience with Money Transmitters [MSB, FinTech’s, payment companies], consumer lending companies, commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [broker dealer, registered investment advisor, exempt registered advisor] and cannabis is the ideal candidate.
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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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As we elevate our broker dealer, IMO and financial professional relationships, this role will be actively collaborating across targeted business units to elevate our value proposition and improve the overall end-to-end experience.
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Relevant compliance experience with focus on broker-dealer regulation. In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.
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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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broker dealer jobs in Hartford, CT
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