2321 broker jobs found

Barclays US Broker Dealer Regulatory Reporting is part of the Financial Control function within the Americas Finance umbrella, supporting all businesses within BCI. The team is responsible for ensuring the US Broker Dealer entity satisfy the various financial responsibility rules set out by SEC/FINRA/CFTC/CME, e.g. customer protection, capital requirements and regulatory filings. In addition, this team is also responsible for interpreting certain broker dealer rules and regulations, and providing guidance and advice to businesses on transactions/product developments which may have customer protection, net capital and regulatory filing implication. The Regulatory Reporting Director will provide support to the head of Regulatory Reporting including the oversight of critical functions of the broker dealer regulatory reporting processes including the monthly FOCUS report and 15c3-1 Net Capital computation. The individual will be responsible for overseeing and managing regulatory...

Ameriprise Financial Monitor the daily work in the Broker/Dealer team to ensure that industry standard service levels are met. Liaison with SS&C (DST) and the Providence Call Center. Process and quality controls Large Trade Notificaitions. Interact with other Managers and Departments to assist in the implementation of new processes and continuing improvements to meet company goals. Assist with the Financial Intermediary Oversight program. Work closely with NQR to ensure reviews are completed in a timely manner. Key Responsibilities: Monitor and delegate the daily work for the team to ensure that standards of service are met. Utilize administrative and management functions in AWD and other reporting to manipulate activities, queues, and tasks for the timely completion of work. Quality controls outgoing correspondence and financial transactions to ensure accuracy. Act as the primary resource for team members when they are faced with questions and issues. Assist with the...

Ameriprise Financial Monitor the daily work in the Broker/Dealer team to ensure that industry standard service levels are met. Liaison with SS&C (DST) and the Providence Call Center. Process and quality controls Large Trade Notificaitions. Interact with other Managers and Departments to assist in the implementation of new processes and continuing improvements to meet company goals. Assist with the Financial Intermediary Oversight program. Work closely with NQR to ensure reviews are completed in a timely manner. Key Responsibilities: Monitor and delegate the daily work for the team to ensure that standards of service are met. Utilize administrative and management functions in AWD and other reporting to manipulate activities, queues, and tasks for the timely completion of work. Quality controls outgoing correspondence and financial transactions to ensure accuracy. Act as the primary resource for team members when they are faced with questions and issues. Assist with the...

NorthMarq Senior Associate Broker - Commercial Real Estate Northmarq - Newport Beach, CA Northmarq seeks a motivated individual to join its expanding team in Newport Beach, CA as an Associate Broker . This presents an opportunity for adaptable individuals with a strong work ethic and ambition to thrive in a sales role within an environment that fosters collaboration. Working alongside senior brokers, the Associate will gain valuable experience in Commercial Real Estate, specializing in Retail Investment Sales , with the potential for unlimited earnings and growth. Position Responsibilities: Engage in prospecting through cold calling and utilizing various resources to identify new leads. Research new leads to uncover, identify and connect within target markets. Collaborate with the marketing and analytics team to create tailored proposals. Participate in client meetings and presentations. List and promote retail investment properties. Cultivate...

NorthMarq Senior Investment Broker NORTHMARQ - WHERE THE BEST COME TO THRIVE Northmarq is entering a new era, and a landmark career opportunity is waiting for you. Northmarq is independent, and fiercely so. We have the freedom to do things the right way. To hire the very best. To give them the resources to thrive. We do it because that's what we believe. Northmarq is not held back by principles, we're propelled by them. We and our clients are growing fast because we're providing something rare and valuable: easy access to the industry's best talent, an agile and collaborative style, and vast resources to execute flawless deals for our clients and partners. Northmarq was voted by Real Estate Forum as one of The Best Places To Work In Real Estate! As part of our aggressive growth strategy, we are seeking a Senior Investment Broker to join our Northmarq team. This individual will become a top investment sales producers who wants to take their production to the next level....

NorthMarq Associate - Commercial Real Estate Northmarq - Houston, TX Northmarq seeks a motivated individual to join its expanding team in Houston, TX as an Associate (Broker) . This presents an opportunity for adaptable individuals with a strong work ethic and ambition to thrive in a sales role within an environment that fosters collaboration. Working alongside senior brokers, the Associate will gain valuable experience in Commercial Real Estate, specializing in Retail I nvestment Sales , with the potential for unlimited earnings and growth. Position Responsibilities: Engage in prospecting through cold calling and utilizing various resources to identify new leads. Research new leads to uncover, identify and connect within target markets. Collaborate with the marketing and analytics team to create tailored proposals. Participate in client meetings and presentations. List and promote retail investment properties. Cultivate relationships with...

New York Life Insurance Company Location Designation: Fully Remote Group Benefit Solutions delivers comprehensive insurance and absence management solutions for mid-sized and large companies. Our work fosters a healthier, happier, and more secure workforce, contributing to New York Life's legacy of being there when we're needed most. Here, you'll design, implement, and support these solutions directly impacting employees' lives. At our core, we provide financial security and peace of mind to people through our absence, accident, disability, voluntary benefits, and life insurance solutions. Click here to learn more about Group Benefits solutions. Role Overview: Responsible for managing and driving the new business processes for a successful implementation of New York Life Group Benefit Solutions (GBS) products for new and existing GBS clients. Directs and coordinates all aspects of the implementation process for clients. Delivers upon the service...

Truist The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need Help? If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response). Regular or Temporary: Regular Language Fluency: English (Required) Work Shift: 1st shift (United States of America) Please review the following job description: The Business Unit Risk Advisor II role, advising the retail broker dealer business, engages with Business Unit leadership in its management of risks and controls as well as its execution of risk program...

Truist The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need Help? If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response). Regular or Temporary: Regular Language Fluency: English (Required) Work Shift: 1st shift (United States of America) Please review the following job description: The Business Unit Risk Advisor II role, advising the retail broker dealer business, engages with Business Unit leadership in its management of risks and controls as well as its execution of risk program...

Truist The position is described below. If you want to apply, click the Apply Now button at the top or bottom of this page. After you click Apply Now and complete your application, you'll be invited to create a profile, which will let you see your application status and any communications. If you already have a profile with us, you can log in to check status. Need Help? If you have a disability and need assistance with the application, you can request a reasonable accommodation. Send an email to Accessibility (accommodation requests only; other inquiries won't receive a response). Regular or Temporary: Regular Language Fluency: English (Required) Work Shift: 1st shift (United States of America) Please review the following job description: The Business Unit Risk Advisor II role, advising the retail broker dealer business, engages with Business Unit leadership in its management of risks and controls as well as its execution of risk program...

About this role BlackRock is a pre-eminent asset management firm and a best-in-class provider of global investment management, risk management and advisory services to institutional, intermediary, and individual investors around the world. BlackRock offers a range of solutions - from fundamental and quantitative active management approaches sought at improving outperformance to highly efficient indexing strategies crafted to gain broad exposure to the world's capital markets. At BlackRock, we strive to empower and engage our employees for everyone's success. With over USD $13.5 trillion of assets, we have an outstanding responsibility: our technology and services provide millions of investors to save for retirement, pay for college, buy a home, and improve their financial well-being. Experience what it feels like to be part of an organization that makes a difference! Team Overview Technology and Operations ("Tech Ops") supports the development of the firm's operating...

About this role Are you interested in building innovative technology that shapes the financial markets? Do you like working at the speed of a startup, but want to solve some of the world's most complex problems? Do you want to work with, and learn from, hands-on leaders in technology and finance? At BlackRock, we are looking for Software Engineers who like to innovate and solve complex problems. We recognize that strength comes from diversity, and will embrace your unique skills, curiosity, drive, and passion while giving you the opportunity to grow technically and as an individual. With over USD $11+ trillion of assets we have an exceptional responsibility: our technology empowers millions of investors to save for retirement, pay for college, buy a home, and improve their financial wellbeing. Being a developer at BlackRock means you get the best of both worlds: working for one of the most advanced financial companies and being part of a software development team responsible for...

Lundbeck Do you want to join a team where the mission is meaningful, the challenges are complex, and you can directly see the results of your hard work? Lundbeck is a global biopharmaceutical company focusing exclusively on brain health. With more than 70 years of experience in neuroscience, we are committed to improving the lives of people with neurological and psychiatric diseases. Lundbeck employees are inspired and driven by our purpose to advance brain health and transform lives. Join us on our journey of growth! SUMMARY: Analyzes and supports the development, implementation, communication, and administration of Lundbeck's benefit programs and policies. Identifies and implements tools and resources for program administration with a focus on developing, standardizing, and improving processes, procedures, and reporting capabilities. Ensures the data integrity and maintenance of employee and business information within all HR systems and processes, producing...

NFP Who We Are: NFP, an Aon company, is a multiple Best Places to Work award winner in Business Insurance. We are an organization of consultative advisors and problem solvers. We help companies and individuals around the globe address their most significant risk, workforce, wealth management and retirement challenges through custom solutions and a people-first approach. To learn more, please visit: https://www.NFP.com. Summary of the Role: This is a full-time position, working within an Analyst team. The Senior Analyst will manage the marketing process, prepare analyses presentations and provide general support to more senior team members. While in this role, the Analyst should be developing relationships with broker partners and carriers and working proactively to effectively and efficiently deliver services to clients. Primarily works in the 50+ employee space. Essential Duties and Responsibilities: Manage the Request for Proposal Process including but limited...

Eaton Vance Morgan Stanley Investment Management (MSIM) is one of the largest global asset management organizations of any full-service securities firm, with more than 40 years of history, a presence in twenty-four countries, and a total of $1.7 trillion in assets under management as of December 31, 2024. MSIM strives to provide outstanding long-term investment performance, service, and a comprehensive suite of investment management solutions to a diverse client base, which includes governments, institutions, corporations, and individuals worldwide. Basic Purpose: Providing support to Regional Director and maintaining sales/service relationships with brokers. Primary Responsibilities: - Provide support to Regional Director covering specific geographical territory. - Act as a liaison between wholesalers and broker/consultants. - Initiate and maintain sales and service relationship with broker consultants to promote the sale of the company's products. - Responsible...

Fidelity Investments Job Description: The Role The Senior Associate, Retirement & Institutional Custody Product Management is a key member of the product team and will support the development and management of a holistic suite of retirement & institutional custody services intended for intermediary Fidelity clients such as RIAs, BDs, independent record keepers, banks, trust companies & family office firms. The associate will interface directly with clients, vendors and internal stakeholders in sales, relationship management, operations and service to oversee the daily requirements of product management as well as coordinate on net new initiatives. This role will help drive the next iteration of products and services we offer these firms in addition to ensuring the current products and platforms operate to product and client specifications. The Expertise and Skills You Bring This role will support product management and development across the suite of...

Fidelity Investments Job Description: The Role The Senior Associate, Retirement & Institutional Custody Product Management is a key member of the product team and will support the development and management of a holistic suite of retirement & institutional custody services intended for intermediary Fidelity clients such as RIAs, BDs, independent record keepers, banks, trust companies & family office firms. The associate will interface directly with clients, vendors and internal stakeholders in sales, relationship management, operations and service to oversee the daily requirements of product management as well as coordinate on net new initiatives. This role will help drive the next iteration of products and services we offer these firms in addition to ensuring the current products and platforms operate to product and client specifications. The Expertise and Skills You Bring This role will support product management and development across the suite of...

About this role What we do BlackRock's business is investing on behalf of our clients, from large institutions to parents and grandparents, doctors and teachers who entrust their savings to us. We are committed to our clients-period. Our promise is to offer them the clearest thinking about what to do with their money and the products and services they need to secure a better financial future. That's why investors of all kinds have made us the world's largest asset manager, entrusting us with trillions of dollars, and it's why companies, institutions and global governments come to us for help meeting their biggest financial challenges. BlackRock runs on Aladdin. It has always been at the core of BlackRock. Aladdin® is an operating system for investment managers that seek to connect the information, people, and technology needed to manage money in real time. Our investment software combines risk analytics with portfolio management, trading, compliance, and operations tools...

Ameriprise Financial In this role, you will provide leadership for a clearing broker dealer settlement team accountable for providing complex operations activities to client and advisors. Settlement activities include DTC settlement, processing dividend and reorganization activities, and handling physical certificates. This includes resolving escalated advisor issues, lead process improvement initiatives, identifying and analyzing trends to implement solutions to increase advisor and client satisfaction, and managing strategic relationships across multiple channels for delivery of operations services. Key Responsibilities Lead a team of professionals providing complex operations activities to advisors, including regulatory supervision to ensure that compliance and regulatory requirements are met. Ensure timely and accurate resolution of escalated advisor issues. Develop and manage cost effective, efficient and compliant operational strategies to ensure advisor and client's...