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5 to 7 years’ relevant experience within asset management or broker/dealer compliance. A strong knowledge of the existing US regulatory framework (FINRA and SEC rules around the marketing of registered products) is essential as is a comprehensive understanding of the asset management or broker/dealer industry, services and products.
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Personal responsibility and accountability to ensure FINRA compliance in the Institutional Broker Dealer. Bachelor’s degree and ten (10) years' financial services industry experience with significant experience in senior level roles in broker dealer compliance or in lieu of degree a combined minimum of 14 years higher education and/or work experience including 10 years’ financial services industry experience with significant experience in senior level roles in broker dealer compliance.
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IWMS provides a comprehensive clearing, custody, brokerage services, investment products, trading capabilities, and consulting to registered investment advisors (RIAs), broker-dealers, banks, insurance companies & retirement record keepers.
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Among other tasks the Policy Associate will: Connect scholars to policymakers and civic organizations Broker relationships: The Associate connects scholars and their research to policymakers and civic organizations at the federal, state, and local levels.
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A bit about us:Heavy Civil Superintendent opening with one of the world's largest and most well-funded development teams.
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We are seeking an industrious, analytical broking talent with a successful background in reinsurance brokerage or underwriting to work as a key member of the treaty team in Boston!
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This high-profile group works across all of Investment Management as well as with our other internal stakeholders including product, actuarial, treasury, accounting, risk, compliance, and external partners, including our primary asset management subsidiary Barings and the major Wall Street derivative broker/dealer counterparties.
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This person will focus on our B2B Asset Management segment, where we target buyers in retail investment management, institutional investment management, and brokerage-dealer firms across the globe.
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Experience with IBM MQ, ActiveMQ, JMS programming and securing queue manager/message broker, Experience in implementing web service (SOAP, REST, WSDL and JAX-WS) integration solutions. Experience with IBM MQ, ActiveMQ, JMS programming and securing queue manager/message broker.
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In our off time you can find us volunteering in our local communities, pottering in our gardens, raising children and traveling to interesting parts of the world in non-COVID times; we love sharing Netflix recommendations and we’re always up for a good debate on where to find the best pizza in New York, Sunday roast in London, and chili crab in Singapore.
$150,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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Establishes standards of conduct during dealer and architectural sales calls, appointments, presentations and all interactions with customers. The Learning Experience Specialist - Sales Training Coach will assist in driving regional sales enablement through the training and education of the Marvin sales and architectural team members.
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The Equity Derivative Portfolio Manager will work closely with teams across Investment Management, Barings and Enterprise Risk. The TeamThe Quantitative Portfolio Management (QPM) team has primary focus in asset-liability management (ALM), product pricing, and the formulation and execution of quantitative strategies that enhance policyholder surplus and mitigate unwanted risks in the portfolio.
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Overview Gallagher Re is one of the world’s leading reinsurance advisory and broking firms.
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This newly created position will provide support for US Customs compliance functions including recordkeeping, reporting, Importer Security Filings, customs clearances, broker compliance, and duty payments.
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At least 2 years of experience in the financial services field with RIA or broker/dealer experience. At least 2 years of experience in the financial services field with RIA or broker/dealer experience.
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broker dealer jobs Company: Jobbot in Boston, MA
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