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Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. The Compliance Advisor Senior Manager also assists the Broker Dealer CCO in keeping abreast of new and updated financial industry laws and regulatory requirements (e.g., FINRA, NASDAQ and SEC.
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The team is responsible for the regulatory policy making and production reporting processes and controls for capital, customer protection and FOCUS reporting for the institutional broker dealer and swap dealer while maintaining the primary interface with its regulators (SEC/FINRA and the CFTC/NFA) for financial responsibility matters involving the regulated entities in the United States.
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Understanding of other relevant SEA, CFTC, FINRA, and/or NFA rules pertaining to broker-dealer reporting requirements. Proficiency in AxiomSL Broadridge, and/or other relevant broker-dealer back-office systems.
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This position primarily acts as a lead broker for clients’ large/complex property insurance programs. We are seeking a thoughtful, well rounded Senior Property Broker to join our growing team.
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HUB International Limited (“HUB”) is the 5th largest global insurance broker, providing a broad array of property, casualty, risk management, life and health, employee benefits, investment and wealth management products and services.
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For each asset class, ICAP offers e-trading capability, giving clients the option to enter prices and execute trades directly via one of our hybrid electronic trading systems, or to engage with brokers who can identify and negotiate tradesPVMPVM is the world's leading broker of oil instruments, including over-the-counter broking of Swaps, Forwards, and Physical Crude Oil and Refined Products, together with exchange broking of WTI, Brent and Gasoil Futures contracts.
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Freight Broker Agent (Experience Required) If you do not have Freight Agent/Broker experience, please do not apply. Freight Broker Agent (Experience Required) If you do not have Freight Agent/Broker experience, please do not apply.
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The mission of the Clear Street Broker-Dealer Clearing (BDC) team is to design the technology that enables the largest trading firms in the world to operate. Tech Stack: TypeScript, React, Redux, Kafka, Java, Go, Python, Docker, Kubernetes, AWS.
$180,000 - $240,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Aon is looking for a Broker II - Financial Services GroupAs part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective solutions as part of our Financial Services business group.
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In this role, you will manage a team of external wholesalers in an effort to build relationships with top financial advisors in the Broker Dealer Channel as well as provide valuable client solutions to assist advisors in growing their business using State Street's investment products.
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High-end consulting firm located in Midtown Manhattan looking to bring on board a “Senior Director/ MD Broker Dealer Compliance” to join their team. High-end consulting firm located in Midtown Manhattan looking to bring on board a “Senior Director/ MD Broker Dealer Compliance” to join their team.
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Join us at Gallagher Re, the trailblazers of the reinsurance world, where every day brings new opportunities to shape the future.
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Dry Cargo Position RequirementDry Cargo Broker – HandyHowe Robinson Partners is looking for candidates for the full time position of Dry Cargo broker at our Fort Lee, New Jersey office. Broker with experience preferred, but recent college graduates are also encouraged to apply.
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SummaryThe objective of this position is to drive revenue and establish, maintain and grow positive relationships with institutional clients including but not limited to pension funds, asset managers and hedge funds by marketing the firm’s Global Listed Derivatives/Futures trading services.
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Please Note: We have flexibility to hire at the Broker Assistant, Broker or Senior Broker career levels depending upon the selected candidate's experience. The Broker interacts with WTW clients and carriers in meeting and exceeding the ongoing insurance and risk management needs of our customers.
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buckeye job Title: broker Company: Csb in Brooklyn, NY
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