- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you'll serve as ... information privacy consultant for our Benefits & Protection Principal Securities business segments, provide program management and business representation, oversee… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …+ Due diligence or operations area at a hedge fund, private equity firm, institutional consultant , or broker dealer + Client disclosure concepts and client ... confirms + All MS Office applications including an ability to work with more advanced Excel functions such as pivot tables and formulas + Complex SEC rules that define client accreditation standards + Basic database and technology concepts + Increasing… more
- Principal Financial Group (Sioux Falls, SD)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... **What You'll Do** The **New Business Consultant ** is instrumental to the success of regional...accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of… more
- Aegon Asset Management (Denver, CO)
- …changes, new competitor offerings, internal product changes, and changes to the way broker - dealer partners want to do business with Transamerica. + Facilitate ... travel to assigned regions to strengthen relationships, attend regional events, broker - dealer partner meetings, and regional events Compensation * **Please… more
- Deloitte (Columbus, OH)
- …workshops in Microsoft PowerPoint. + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... Sanctions domain. As a Data Analytics, Anti-Money Laundering Senior Consultant , you will have the opportunity to be on...from throughout Deloitte. Responsibilities typical of an analytics Senior Consultant on one of these projects may include: +… more
- The Hartford (Wayne, PA)
- …in the territory + A demonstrated track record of success in the assigned broker dealer firms + Additional industry designations (ie, CIMA, CFA) Compensation The ... Retail Sales Consultant - 87SX5E We're determined to make a...team as we help shape the future. The Advisor Consultant is responsible for increasing market share and growing… more
- Capco, a Wipro Company (New York, NY)
- …migrations / conversions is required + Ability to understand institutional Broker - Dealer businesses, control infrastructure and technology impact + Proven ... change and compete.' **About the Job:** As a Principal Consultant at Capco you will be playing a key...on a range of different business areas as a consultant + Bachelor's degree **Why Capco?** A career at… more
- Motion Recruitment Partners (Charlotte, NC)
- …4 Months **Required Skills & Experience** + 2+ years of securities/ Broker dealer / back-office operations experience (Asset services experience is ideal) ... Business Execution Consultant - Backoffice, Asset Sevicing Charlotte, NC **Hybrid**...Financial Services Company is looking for a Business Execution Consultant with BackOffice, Asset Servicing experience preferably in Charlotte,… more
- The Hartford (Wayne, PA)
- …* 3-5 years of wholesaling experience* Distribution channel experience with assigned broker dealer firms.* Track Record of success with existing relationships ... Retail Sales Consultant - 87SX5E We're determined to make a...Location: WA and AK Position Summary: As an Advisor Consultant , you will be responsible for driving Hartford Funds… more
- Guardian Life (Columbus, OH)
- …and disability insurance, mutual funds and annuities. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's ... is Guardian's advanced sales department and we are seeking a Tax Planning Consultant . We are an organization providing superior case consultation to our field force… more
- Huntington National Bank (Dallas, TX)
- …of Investigations) background check with fingerprinting in order to be associated with the broker dealer . Exempt Status: (Yes = not eligible for overtime pay) ... more information, visit www.capstonepartners.com. As Capstone Financial Advisory Services Consultant - Associate on Capstone's Financial Advisory Services team, you… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …securities industry and asset management products. + Principals of finance and broker / dealer operations. + Financial markets and products. + Portfolio ... our Saint Petersburg, FL corporate office._ **Job Summary:** As an Advisory Consultant within AMS, you will operate under general direction and utilize specialized… more
- Raymond James Financial, Inc. (Mill Creek, WA)
- …traded on the New York Stock Exchange (RJF)._ _Through its three broker / dealer subsidiaries, Raymond James Financial has approximately 8,800 financial advisors ... throughout the United States, Canada, and overseas. Total client assets are $1.57 trillion._ _Raymond James has been recognized nationally for its community support and corporate philanthropy. The company has been ranked as one of the best in the country in… more
- T. Rowe Price (San Francisco, CA)
- …development of strategic relationships with the Centers of Influence (COI) at our largest broker dealer clients to execute on account plans and firm goals. In ... management for large, highly complex accounts with our top Broker Dealer clients (Morgan Stanley Wealth Management,...of Influence (COI) within the organization. + Serve as consultant to the client on how T. Rowe Price… more
- City National Bank (New York, NY)
- …with the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived ... by notifying the Portfolio Manager Team and Sr. Investment Consultant . Monitor the process of the transfer, handle any...* 3 to 5 years of experience in a broker dealer or investment industry * Minimum… more
- Navy Federal Credit Union (Reston, VA)
- …within 90 days of hire) + Appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Willingness to pursue CFP, ... more complex relationships as experience is gained. + Execute customer and broker purchase /sales orders of securities for current/new clients + Focus consulting… more
- Atria Wealth Solutions (Raleigh, NC)
- …about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year track record of serving the ... people, develop genuine relationships, and act as their personal consultant to assist them with their financial needs and...their members. We're ranked as one of the top broker -dealers in the industry and we work with some… more
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... job functions. Plays a key role as an internal consultant to colleagues throughout the organization related to the...well as internally. * Acts as a COI regulatory consultant throughout the Bank. Communicates and escalates (as assigned)… more
- Guardian Life (Columbus, OH)
- …leading Money Managers (Blackrock, Fidelity, etc.). + Thorough knowledge of Broker / Dealer products including; Advisory platforms, Mutual Funds, Variable ... identify and parse out Annuity opportunities), pre and post Wealth Management Consultant (WMC/AWMC) agency visit support, and deliver Annuity training to groups of… more
- JPMorgan Chase (Jersey City, NJ)
- …the planning, fieldwork, sampling, documentation, and reporting of audit activities; broker - dealer financial products and services; and bank custody financial ... of experience in the job offered or as Auditor, Audit Consultant /Specialist/Executive, or related occupation. Skills Required: Requires experience in the following:… more