- T. Rowe Price (Baltimore, MD)
- …firm's distribution initiatives related to the sale of Exchange Traded Funds (ETF) through broker dealer intermediaries. The role will report to the Head of ETF ... your career with us. Role Summary: The B/D ETF Sales Specialist (BESS) will be focused on developing and...of date to target highest value ETF users within Broker Dealer segment. + Maintain in-depth knowledge… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Broker Dealer Trader II to join our Broker Dealer Services team. In this role, you'll provide prompt, courteous ... Help You Stand Out** + 2+ years of prior Broker Dealer experience preferred + FINRA Series...Range Information** Salary ranges below reflect targeted base salaries. Non- sales positions have the opportunity to participate in a… more
- Raymond James Financial, Inc. (Bethesda, MD)
- …Concepts, practices and procedures of business development in a financial services/ broker - dealer environment. * Strong investment concepts, practices and ... centers of influence and developing niches to meets specific marketing and sales goals. Works independently on difficult assignments that are broad in nature,… more
- SMBC (New York, NY)
- …all support functions. + Provide compliance subject matter expertise for some bank, Swap dealer and Broker dealer regulations applicable to support functions ... communications. + Experience working for a non-U.S. bank / broker dealer is highly desirable. + Familiarity...institutions engaged in corporate banking and institutional trading & sales activities is highly desirable. + Experience dealing with… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... identify and provide training and conduct monitoring of the broker dealers public side sales and trading...and Skills** + Extensive Compliance Advisory experience at a broker dealer covering fixed income and/or fixed… more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... identify and provide training and conduct monitoring of the broker dealers public side sales and trading...Core Competencies/Skills: + Extensive Compliance Advisory experience at a broker dealer . + Strong knowledge in US… more
- Atria Wealth Solutions (San Diego, CA)
- …institutions, and their clients. Headquartered in New York City, Atria's broker - dealer and investment adviser subsidiaries empower financial institutions and ... institutions and their clients. Headquartered in New York City, Atria's broker - dealer subsidiaries empower financial institutions and independent financial… more
- Morgan Stanley (Purchase, NY)
- …and/or in-house experience, preferably with a financial services firm (including a bank, broker - dealer or private equity fund). > Experience with capital markets ... and precious metals trading in the secondary markets; and sales coverage for the Firm's financial advisors. The lawyer...of 1934, and associated FINRA rules). > Experience on broker - dealer /FINRA matters a plus, along with related… more
- HSBC (New York, NY)
- … sales blotters, e-mails, faxes and correspondence + Conduct on-site audits of broker / dealer field locations to ensure all processes meet regulatory and firm ... required to be in the field regularly as a hybrid role (time in Wealth Centers and in the...organizational and planning skills. + In-depth knowledge of Wealth broker - dealer including but not limited to; operational… more
- Mizuho Corporate Bank (New York, NY)
- …Mizuho Bank and a US bank holding company, including subsidiaries such as the broker dealer and derivative trading entities. You will work within Mizuho Americas ... of funding sources and uses for both bank and broker dealer entities. + Working knowledge of...successful candidates are eligible to receive a discretionary bonus. #LI- Hybrid Other requirements Mizuho has in place a … more
- Mizuho Corporate Bank (New York, NY)
- …and assumption development within Capital Markets Treasury. Capital Markets Treasury includes a broker dealer , swap dealer , derivative dealer , and ... benefits package, successful candidates are eligible to receive a discretionary bonus. #LI- Hybrid Other requirements Mizuho has in place a hybrid working… more
- Atria Wealth Solutions (Reston, VA)
- …towards more complex relationships as experience is gained. + Execute customer and broker purchase / sales orders of securities for current/new clients + Focus ... Financial Advisor I - Reston Reston, VA, United States ( Hybrid ) *PLEASE NOTE: NAVY FEDERAL FINANCIAL SERVICES IS THE...of hire) + Appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm +… more
- Navy Federal Credit Union (Vienna, VA)
- …business relationships with members and internal/external sources + Execute customer and broker purchase/ sales orders of securities for current/new clients + ... outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business… more
- Atria Wealth Solutions (Pensacola, FL)
- …business relationships with members and internal/external sources + Execute customer and broker purchase/ sales orders of securities for current/new clients + ... outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business… more
- Atria Wealth Solutions (Riverside, CA)
- …LP visit www.cusonet.com . CUSO Financial Services, L. P. (CFS) (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year track record of serving the ... referral and production goals. Participate in weekly conference calls, submit weekly sales reports, and attend monthly sales meetings. EDUCATION AND EXPERIENCE:… more
- Siebert Williams Shank (Chicago, IL)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... to join its Infrastructure and Public team and work hybrid (4 days in-office) from its Chicago, New York...national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and… more
- Janus Henderson Investors (New York, NY)
- …Capital Markets Team has broad responsibility in several major areas: engagement with the broker dealer community, stock exchanges and trading desks to ensure an ... Develop and maintain strong working relationships with the JHG sales teams. + Provide Sales with training,...What to expect when you join our firm + Hybrid working and reasonable accommodations + Generous Holiday policies… more
- Principal Financial Group (Des Moines, IA)
- …experience + Knowledge of corporate retirement plans, wealth management, broker - dealer , wirehouse, and/or registered investment advisors business models ... **Salary Range Information** Salary ranges below reflect targeted base salaries. Non- sales positions have the opportunity to participate in a bonus program.… more
- Principal Financial Group (Des Moines, IA)
- …be required to become a non-registered fingerprint person of (insert broker / dealer ). **Work Authorization/Sponsorship** At this time, we're not considering ... education and overview in an effort to increase market opportunities and support sales in the Financial Planning and Retirement Plan businesses. Educate advisors on… more
- Guardian Life (New York, NY)
- …through our General Agency distribution system as well as through the Third Party and Broker Dealer arm. + Lead all aspects of the development of content that ... program launch strategies, updates, and maintenance communications to support sales activity and consumer engagement. + Support annuity wholesalers...management experience a plus. **Location:** + This role is hybrid with 2 days a week out of our… more