Broker Dealer jobs
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BROKER DEALER CONTROLLER, ASSISTANT VICE PRESIDENT
Partner with the Businesses, Global Accounting Operations (GAO) and Finance leadership to ensure accuracy of financial results and that internal controls are appropriately designed and executed. Engage with global leadership in ke...
| Company | State Street |
|---|---|
| Address | Boston, MA |
| Category | Accounting/Finance |
| Salary | Not disclosed |
| Job type | Full time |
| Date Posted | a week ago See detail |
Broker Dealer Controller, Assistant Vice President
State Street
Boston, MA
Not disclosed
Partner with the Businesses, Global Accounting Operations (GAO) and Finance leadership to ensure accuracy of financial results and that internal controls are appropriately designed and executed. Engage with global leadership in ke...
a week ago seen See more...
- View all State Street jobs - jobs in Boston, MA
Senior Compliance Officer - Broker Dealer
Victory Capital
San Antonio, TX
Senior Compliance Officer - Broker-DealerVictory Capital |San Antonio, TXAbout Victory Capital:General Summary and Purpose:Victory Capital Services, Inc. (VCS) is an introducing broker-dealer with multiple lines of business, in...
2 weeks ago seen See more...
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State Street Global Advisors - Broker Dealer Regional Consultant (OH/PA), VP
State Street Corporation
Chagrin Falls, OH
You will personally own key client and strategic partner relationships as a member of the Americas Wealth Group. The position will cover National, Independent and Regional Broker Dealers across the Eastern Ohio & Western Pennsylva...
2 weeks ago seen See more...
State Street Global Advisors - Broker Dealer Regional Consultant (Houston, TX), VP
State Street Corporation
Austin, TX
You will personally own key client and strategic partner relationships as a member of the Americas Wealth Group. The position will cover National, Independent and Regional Broker Dealers across the Southern Texas market. You will...
2 weeks ago seen See more...
- View all State Street Corporation jobs - jobs in Austin, TX
Broker Dealer Marketing and Advertising Compliance Officer
Citizens Bank
Westwood, MA
Reviewing and approval of all Broker Dealer Marketing and Advertising materials submitted for use by the retail sales team.. Working with registered representatives and sales management to resolve issues related to submissions, m...
3 weeks ago seen See more...
- View all Citizens Bank jobs - jobs in Westwood, MA
State Street Global Advisors - Broker Dealer Regional Consultant (MD/VA), VP
State Street
Richmond, VA
Not disclosed
You will personally own key client and strategic partner relationships as a member of the Americas Wealth Group. The position will cover National, Independent and Regional Broker Dealers across Maryland, Virginia, & West Virginia...
3 weeks ago seen See more...
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Finance and Operations Associate (Broker Dealer)
Acg Resources
New York, NY
The position is highly visible, offers career growth and the opportunity to work alongside the principals and management of the Broker Dealer.The ideal candidate will have at least 2 years experience in middle office or back offi...
3 weeks ago seen See more...
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State Street Global Advisors - Broker Dealer External Hybrid Sales Consultant, AVP
State Street
Scottsdale, AZ
Not disclosed
You will identify the needs of our clients varying business practices and regularly provide compelling solutions, market insights, investment ideas, and sales support. You will have a keen investment acumen and operate as an exper...
3 weeks ago seen See more...
- View all State Street jobs - jobs in Scottsdale, AZ
State Street Global Advisors - Broker Dealer Regional Consultant (Houston, TX), VP
State Street
Austin, TX
Not disclosed
You will personally own key client and strategic partner relationships as a member of the Americas Wealth Group. The position will cover National, Independent and Regional Broker Dealers across the Southern Texas market. You will...
3 weeks ago seen See more...
- View all State Street jobs - jobs in Austin, TX
State Street Global Advisors - Broker Dealer Regional Consultant (OH/PA), VP
State Street
Sylvania, PA
Not disclosed
You will personally own key client and strategic partner relationships as a member of the Americas Wealth Group. The position will cover National, Independent and Regional Broker Dealers across the Eastern Ohio & Western Pennsylva...
3 weeks ago seen See more...
- View all State Street jobs - jobs in Sylvania, PA
Associate General Counsel, Broker-Dealer/Investment Advisor Group
Finra
Washington, DC
$149,600 a year
Coordinate closely with FINRA business units and other regulators as appropriate in the development and communication of legal policy statements. Serve as a key source of legal expertise on BD/IA regulation within FINRA and provid...
4 weeks ago seen See more...
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Broker Dealer Associate I
Principal Financial Group
Des Moines, IA
$15.12 - $31.73 an hour
Provide service to Broker Dealer customers and registered representatives through various means including written correspondence, email, phone, internet and fax. Process time sensitive tasks with a high level of accuracy while mai...
4 weeks ago seen See more...
External Sales, Mutual Fund Broker Dealer Channel (Southern California)
Guggenheim Partners
Chicago, IL
Generate sales of Guggenheim Investments Mutual Funds within the territory. Support brand and image of the firm and its products. Own sales performance and goals for territory. Solidify relationships, generate new business with ou...
4 weeks ago seen See more...
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Commercial Broker Dealer Compliance Advisor - Senior Manager
Capital One
Virginia, United States
Manage a team of two registrations professionals and one Compliance Advisor. Provide subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-mo...
a month ago seen See more...
- View all Capital One jobs - jobs in Virginia State
Broker Dealer Controller, Vice President
State Street
Stamford, CT
Not disclosed
Partner with the Businesses, Global Accounting Operations (GAO) and Finance leadership to ensure accuracy of financial results and that internal controls are appropriately designed and executed. Engage with global leadership in ke...
a month ago seen See more...
- View all State Street jobs - jobs in Stamford, CT
Deputy Commissioner, Broker-Dealer Investment Adviser
State Of California
Sacramento, CA
Job Application Package Checklist. Duty Statement. Current version of the State Examination/Employment Application STD Form 678 (when not applying electronically), or the Electronic State Employment Application through your Applic...
2 months ago seen See more...
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Commercial Insurance Broker with Franchise Auto Dealer Focus
The Misch Group
Kansas City, MO
$76.4K - $96.8K a year
Generating leads through the development of professional relationships, cold calling, community involvement, existing clients, and internal referrals. Developing new relationships with individuals responsible for insurance and ris...
2 months ago seen See more...
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