- Fidelity TalentSource LLC (Merrimack, NH)
- …Regional Director (DREP) your primary responsibility will be supporting and driving sales through Broker Dealer Financial Advisors and Registered ... Job Description:\u00A0Job Description\u00A0We have an exciting sales opportunity in a number of territories working...person to meet associate and business needs. Currently, most hybrid roles require associates to work onsite all business… 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
- Citigroup (New York, NY)
- …management and payments, trade finance, securities services, as well as Citi's broker - dealer and swap- dealer businesses. Investigations Legal provides legal ... financial services company. + Exposure to capital markets, derivatives, institutional sales and trading, and/or commercial, corporate, or investment banking. +… 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
- 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
- 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
- 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
- Charles Schwab (San Francisco, CA)
- …B2B sales experts who focus on large and complex advisors, independent broker dealer reps and trust/bank professionals. You will partner with internal ... independent advisors, family offices, trust companies, large branches/OSJ's and broker /dealers + Passionate about the benefits of moving from...through our client's eyes **The position can be either hybrid (if an Advisor Services Sales office… more
- Atria Wealth Solutions (Fredericksburg, VA)
- …towards more complex relationships as experience is gained. + Execute customer and broker purchase / sales orders of securities for current/new clients + Focus ... within 90 days of hire) + Appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Willingness to pursue CFP,… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... AVP, Investor Relations & Business Development, to join our Sales team. This role will engage directly with business...Please note OTC Markets is currently operating in a hybrid work environment (three days in office, two days… more
- Navy Federal Credit Union (Fredericksburg, VA)
- …towards more complex relationships as experience is gained. + Execute customer and broker purchase / sales orders of securities for current/new clients + Focus ... within 90 days of hire) + Appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Willingness to pursue CFP,… 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
- NatWest Markets (Stamford, CT)
- …& Experience** + In-depth knowledge of pre-trade client onboarding processes related to broker - dealer , swap dealer and capital markets businesses with ... work differently depending on their jobs and needs. From hybrid working to flexible hours , we have plenty...+ Build and maintain close partnerships with management stakeholders, sales teams, and clients to drive US onboarding prioritization… more
- SMBC (New York, NY)
- …on Rates & Credit for both cash and derivatives * Solid knowledge of broker - dealer /investment banking environment, sales & trade flows and eTrading domain ... * Become an expert on the full offering of sales and trading applications and how they are leveraged...and promoting diverse talent. SMBC's employees participate in a hybrid workforce model that provides employees with an opportunity… 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
- Mizuho Corporate Bank (New York, NY)
- …7+ years experience with handling compliance issues in a US financial institution/ broker dealer , including related to insider trading monitoring, and information ... benefits package, successful candidates are eligible to receive a discretionary bonus. #LI- Hybrid #LI-NR1 Other requirements Mizuho has in place a hybrid … more
- Mizuho Corporate Bank (New York, NY)
- …Bank and a US bank holding company, including subsidiaries such as the broker dealer and derivative trading entities. The Liquidity Risk Independent Review ... successful candidates are eligible to receive a discretionary bonus. # Hybrid Other requirements Mizuho has in place a ...and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit… more
- Guardian Life (New York, NY)
- …like Life & Disability Insurance as well as Investment products through our Retail Broker Dealer & Registered Investment Advisor (RIA) to the affluent, high net ... build vs buy decisions on table stake technologies from pre- sales , client onboarding & servicing to financial planning, portfolio...CT, or Bethlehem, PA + The position will be hybrid with 3+ days in the office + Will… more
