- Principal Financial Group (Des Moines, IA)
- …excellent service important to you? If so, this might be the role for you! As a ** Broker Dealer Customer Experience Specialist 1** , you'll operate in ... + Bachelor's degree in a business-related field or equivalent experience required + Must have a FINRA Series 6...have a FINRA Series 6 or 7 license. + Customer service, sales, financial services, or securities and investment… more
- Principal Financial Group (Des Moines, IA)
- …in a team-oriented atmosphere **Skills That Will Help You Stand Out** + 2+ years of prior Broker Dealer experience preferred + FINRA Series 53 & 4 + Prior ... **What You'll Do** We're looking for a Broker Dealer Trader II to join...questions and resolve problems relating to potential and existing customer accounts, trade approvals, compliance regulations, available products, and… more
- Guardian Life (Des Moines, IA)
- …of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience , with experience at ... demonstrate our values and behaviors while focusing on the customer . We do this through leveraging a series of...as a plus. + Prior examination, auditing or testing experience . + Series 7 & 24 licenses required. +… more
- Principal Financial Group (Des Moines, IA)
- …This person will primarily support the private funds compliance program with both broker dealer and investment adviser responsibilities. In this role you'll have ... financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for...years! **Who You Are** + Bachelor's degree or equivalent experience required. JD or MBA helpful. + 10+ years… more
- Brokers International (Urbandale, IA)
- …manage multiple projects simultaneously + Prior management, Registered Investment Advisor and Broker Dealer experience required. Life Insurance and Annuity ... Our core values are Teamwork, Work Ethic, Integrity, and Customer Service. If you are up for the challenge,...building and executing a sustainable operations program and advisor experience . This role will oversee the day-to-day activities of… more
- Principal Financial Group (Des Moines, IA)
- …This person will primarily support the private funds compliance program with both broker dealer and investment adviser responsibilities. In this role you'll have ... financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for...years! **Who You Are** + Bachelor's degree or equivalent experience required. JD or MBA helpful. + 10+ years… 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 and ... financial security accessible to all. Our mission, integrity, and customer focus have made us a trusted leader for...all roles will be based upon geographic location, work experience , education, licensure requirements and/or skill level and will… more
- Brokers International (Urbandale, IA)
- …a focus on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... working as one integrated team. Our core values are Teamwork, Work Ethic, Integrity, and Customer Service. If you are up for the challenge, come join us and be part… more
- Guardian Life (Des Moines, IA)
- …and disability insurance, mutual funds and annuities. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's ... Have** + Juris Doctor degree (JD) REQUIRED + Minimum of 5 years' experience in advanced markets/business owner market + CFP/CLU/ChFC preferred + Possess expert… more