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Top Tier Financial Services firm looking for a Prime Broker | Margin Risk Manager to join their growing team. Experience working with the following Service Providers is a plus: Broadridge (BPS) and BPS | aHUMA (QlikView, WhiteBox Rapport, nPrinting) or other ETL toolsTRAFiX, Silexx, Rival, Redi, Bloomberg EMSX, DeepSystems, MultiMediaSoftek.
$250,000 a yearFull-timeExpandApply NowActive JobUpdated Yesterday - UpvoteDownvoteShare Job
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The Managing Broker will be responsible for supporting the Designated Managing Broker in the successful administration of eXp Realty brokerage operations in their state. As a participant on the eXp Realty state leadership team, the Managing Broker ensures that eXp delivers exceptional brokerage support to agents in their representation of clients and customers.
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Position OverviewThe Medicare Broker Manager, under the direction of the Director of Medicare Sales, will be accountable for driving and achieving company defined distribution channel sales goals and objectives.
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Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring and AML compliance. As the broker-dealer CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting and remediating regulatory issues.
$300,000 a yearFull-timeExpandApply NowActive JobUpdated 2 days ago - UpvoteDownvoteShare Job
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We are focused on the investment bank division and conduct reviews of UBS's various businesses in order to proactively identify compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential regulations) and ensure adequate controls are in place to mitigate associated risks.
$211,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Worth Clark Realty , the 39th largest private independent brokerage in the U.S., is currently seeking a qualified broker for our managing broker and market leader position in. What a managing broker typically deals with on a day-to-day basis is taken almost entirely off of their plate and handled by our core support team, such as marketing, recruiting, onboarding, general questions, compliance, transaction management, commission disbursements, and more.
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Taylor Root is working with various clients in the Financial Services space who are looking for talent with substantial broker-dealer compliance experience. Taylor Root is working with various clients in the Financial Services space who are looking for talent with substantial broker-dealer compliance experience.
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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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Engage with leadership in product innovation and creative solutions for clientsThe senior broker participates in pre-strategy meeting to create renewal strategy. If you said yes, then apply to join our Broker team today.
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Champion strategies to maximize broker channel sales output and overall performance of our broker agency partners. Marketing event development & execution for contracted FMOs and down-stream broker agencies to increase broker channel sales.
$96,500 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Role DescriptionThe Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Training committees.
$200,000Full-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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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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Broker Support Coordinator Manhattan, New York Sales Operations Apply Now Job ID R011344 OverviewAssesses eligibility of the Sales team's VNS Health Medicare referrals, processes and enter referrals into our referral management system(s), works as a VNS Health plan representative for NYMC to complete NYMC transfer calls, schedules internal nurse assessments and works with various departments to resolve any Medicaid-related issues.
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The Compliance group within SMBC Nikko Securities Inc. serves as a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Trainingcommittees.
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Title: broker Company: Csb in New York, NY
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