- Vanguard (Malvern, PA)
- Broker / Dealer National Accounts , Product and Platform Partnerships: + Interacts with the product and research teams at national broker /dealers to ... At least two years of working within intermediary advisor distribution. National accounts experience preferred. + Undergraduate required. Graduate degree… more
- Vanguard (Malvern, PA)
- …existing relationships with distributors, advisors, and other intermediaries in the Broker Dealer channel through predominantly electronic and telephone ... in-person contact. + Generates new relationships and broadens existing relationships in the Broker Dealer channel using a combination of electronic and in-person… more
- Navy Federal Credit Union (Cherry Hill, NJ)
- …process and procedures and FINRA, NASAA, SEC regulations + Conduct review of accounts to communicate account status, explain activities and inform clients of ... outcomes + Ability to obtain appointment by the sponsoring insurance company, broker - dealer and/or Registered Investment Advisory Firm + Experience in business… more
- Wells Fargo (Wayne, PA)
- …for appointments with new or prospective clients, establish and service client accounts , prepare forms, research account inquiries and/or issues + Execute ... expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- The Hartford (Wayne, PA)
- …Group, Inc. and its subsidiaries, which include two registered investment advisers, a broker - dealer , and a transfer agent. Hartford Funds is the sponsor of ... Hartford Funds also manages 529 college savings plans and separately managed account model portfolios. As of November 30, 2025, Hartford Funds had approximately… more
- Wells Fargo (Deptford, NJ)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... employees will be expected to provide information to the Wells Fargo Personal Account Dealing Team and abide by applicable policy requirements if hired. Information… more
- Santander US (Conshohocken, PA)
- …defined on a quarterly basis. * Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of investment ... of other bank products and services such as deposit accounts and loans. * Attend and actively participate in...to race, color, religion, sex, sexual orientation, gender identity, national origin, genetics, disability, age, veteran status or any… more
- BlackRock (Wilmington, DE)
- …and fund accountants, and processing of TBA allocations. Day to day management of broker / dealer and custody relationships is a key focus as well as fostering ... settled fully or partially according to the safekeeping positions held in Custodian Accounts + Capacity to balance multiple tasks simultaneously and adapt to varying… more