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We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
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Symmetry Financial Group- The Brown Agency BE A Life and Health Insurance Agent today (Work Remotely) We are looking for new INDEPENDENT LIFE INSURANCE AGENTS who are ready to learn the business, work hard, have fun, and finally earn what you’re worth.
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At least 2 years of experience in the financial services field with RIA or broker/dealer experience. Our successful, driven, and fun Field Development and Transition team is looking to bring on a field development associate consultant to help us initiate and foster relationships with prospective financial advisors in our target market.
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Drafting, negotiating, and closing a high volume and a wide variety of networking agreements (agreements where LPL will be the broker-dealer and investment advisor), ensuring that all contracting processes are adhered to and the firm’s contracting standards are maintained, including but not limiting to those relating to risk allocation.
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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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We specialize in personal and commercial insurance lines, surety and bonding, employee benefits, financial and retirement services, and human capital management solutions. The most important ingredients for success: If you are "humble and hungry" and enjoy the thrill of the hunt, then you will love this opportunity building and growing a new market for a stable, secure, profitable broker with amazing leadership.
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Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida.
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With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate and public finance), equity & fixed income research, market making, trust services and investment advisory and asset management services.
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Investment Banking, Capital Raising, Angel Investing, Broker-Dealer, Corporate Finance, Capital Markets, Equity Capital Markets, Financial Services, Private Equity, Private Equity Funding, Private Equity Firms, Management Consulting, Venture Capital, Transaction Advisory, Transaction Advisory Services, Mergers & Acquisitions, Due Diligence, Private Placements, Growth Capital, Seed Capital, Consultative Sales Management, Consultative Selling.
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This will include the full suite of technology solutions including, Regulatory Reporting, Financial Reporting, Global Fund Reporting, Global Transaction Reporting, Shareholder Disclosure, Compliance Services and Managed Services.
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Analyzing coverage; evaluating liability and damages, establishing accurate reserves throughout the life of the file; communicating file updates and reserves to the broker, insured, and underwriter when appropriate; attending mediations; participating in roundtables to discuss reserves and strategy, effectively managing the litigation process and defense counsel to ensure timely and cost-effective outcomes.
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Together with its subsidiaries, New York Life provides a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency.
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Broadridge Financial Solutions, Inc. (NYSE: BR) , is a global Fintech leader, delivering technology-driven solutions that drive digital transformation for banks, broker-dealers, asset and wealth managers and public companies.
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Preferred Skills, Capabilities and Experiences:Experience in a healthcare or health plan setting most notably managing Broker/Consultant relationshipsstrongly preferred. The Broker Relations Mgr II provides oversight and relationship management across all identified top broker/consultant firms tied to strategic priorities for Specialty and Stop Loss business.
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Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. 1-2 years financial services/fixed income experience would be highly beneficial.
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financial broker jobs in Waltham, MA
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