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Securities Broker Jobs

40 jobs

Job Summary CNA Insurance is currently recruiting for a claim professional to handle claims in our insurance agent and securities broker dealer professional liability unit located at our New York City office in lower Manhattan. CNA is the perfect opportunity for you to join one of the premier providers of professional liability insurance. We seek an individual with experience in a law firm handli...
Claims Consultant - Insurance Agent Securities Broker Dealer Professional Liability-CLA0001FA Description *LI-AM1 Job Claim Primary Location United States-New York-New York Other Locations United States-Massachusetts-Boston, United States-Illinois-Chicago Organization CLAIM USSPL Pro C (Pro Custom) Job Posting Feb 1, 2016 Unposting Date Ongoing _cn_ Loews Corporation _rfc_ 133604...
Since 1928, people have been trusting Farmers to provide them with the coverage they want so they can have the peace of mind that comes from knowing that their futures and their families are covered against risk. A variety of strong, customer-tailored insurance products has made Farmers one of the nation's leading Property/Casualty, Life and Business insurers. Farmers Financial Solutions, LLC , Fa...
Kovack Securities is a National Independent Securities Broker/Dealer located in Fort Lauderdale, FL. We are currently interviewing for a Principal within our New Accounts Department. Candidates should have prior experience as a Principal working at an Independent Broker/Dealer that has cleared through either Pershing or NFS. Experience with NetX360 and/or Streetscape is preferred. Primary duties w...
AMS has been retained by a well-established, publicly traded bank to assist in it's search for a Controller. Under the direction of the Chief Financial Officer, the Controller will manage the accounting and financial reporting of the bank. The ideal candidate for the role has experience with a similarly sized bank with a mix of accounting and reporting. A CPA is desired. Two words to describe this...
Job Description: A leading securities broker/dealer and SEC Registered Investment Advisor is seeking an Advisor Systems Specialist to handle front-line technology support to affiliated advisors. The ideal candidate will be a customer service professional who utilizes their expertise in communication to provide first-class technical support on industry-specific systems. Responsibilities: Provide...
Since 1928, people have been trusting Farmers to provide them with the coverage they want so they can have the peace of mind that comes from knowing that their futures and their families are covered against risk. Farmers Insurance Group of Companies ®includes the country's third-largest Personal Lines Property and Casualty insurance group. We currently operate in 29 states with assets over $20 bil...
Job Description A leading securities broker/dealer and Registered Investment Advisor is seeking a Compliance Examiner. The position will be responsible for conducting announced and unannounced on-site inspections of assigned branch offices. The branch exams are focused on the sales practices of each individual advisor and the book sand records requirements of each office to ensure compliance with...
Job Description: Are you looking for a new career path? One that will give you more control and the opportunity to finally build something for yourself? David Lerner Associates has just the opportunity for you. We are looking for driven and entrepreneurial-minded people to become Investment Counselors. As an Investment Counselor you will meet with prospective clients before they invest in order t...
Job Description: Are you looking for a new career path? One that will give you more control and the opportunity to finally build something for yourself? David Lerner Associates has just the opportunity for you. We are looking for driven and entrepreneurial-minded people to become Investment Counselors. As an Investment Counselor you will meet with prospective clients before they invest in order t...
Job Description: Are you looking for a new career path? One that will give you more control and the opportunity to finally build something for yourself? David Lerner Associates has just the opportunity for you. We are looking for driven and entrepreneurial-minded people to become Investment Counselors. As an Investment Counselor you will meet with prospective clients before they invest in order t...
Job Description: Are you looking for a new career path? One that will give you more control and the opportunity to finally build something for yourself? David Lerner Associates has just the opportunity for you. We are looking for driven and entrepreneurial-minded people to become Investment Counselors. As an Investment Counselor you will meet with prospective clients before they invest in order t...
Job Description: Are you looking for a new career path? One that will give you more control and the opportunity to finally build something for yourself? David Lerner Associates has just the opportunity for you. We are looking for driven and entrepreneurial-minded people to become Investment Counselors. As an Investment Counselor you will meet with prospective clients before they invest in order t...
40891BR Senior Compliance Risk Manager Compliance Group Greenville, SC - 301 College Street English Full time Regular 1st shift 40 Be a subject matter expert and risk manager, responsible for managing and supervising compliance risks related to assigned lines of business (LOBs), products, disclosures, advertisements, marketing and other compliance concerns. Perform as a key officer within...
Auto req ID 40891BR Posting Title Senior Compliance Risk Manager Business Unit Compliance Group Address Greenville, SC - 301 College Street Language Fluency English Full-Time/Part-Time Full time Regular/Temporary Regular Shift 1st shift Scheduled Weekly Hours 40 Primary Purpose Be a subject matter expert and risk manager, responsible for managing and supervising compliance risks related t...
Auto req ID 40215BR Posting Title Senior Compliance Risk Manager Business Unit Compliance Group Address Richmond, VA - 901 East Byrd Street Language Fluency English Full-Time/Part-Time Full time Regular/Temporary Regular Shift 1st shift Scheduled Weekly Hours 40 Primary Purpose Be a subject matter expert and risk manager, responsible for managing and supervising compliance risks related t...
Essential Duties and Responsibilities: The following is a summary of the essential job functions for this job. Other duties may be performed, both major and minor, which are not mentioned below. Specific activities may change from time to time. 1. Maintain superior knowledge of past, current and emerging compliance regulations and regulator focus. Analyze, advise and communicate new/amended laws...
Recruiting Specialist CUSO Financial Services, L.P. (CFS) and Sorrento Pacific Financial, LLC. (SPF) are growing securities broker/dealers located in the Scripps Ranch area of San Diego. We are looking for a Recruiting Specialist to join our fun and successful organization. Our company culture encourages innovation and growth by promoting openness, flexibility and an entrepreneurial spirit. The ...
Division CUSO Financial Services, L.P. Position Recruiting Specialist Location CFS and SPF Home Office - San Diego, CA Full-Time/Part-Time Full-Time Description Recruiting Specialist CUSO Financial Services, L.P. (CFS) and Sorrento Pacific Financial, LLC. (SPF) are growing securities broker/dealers located in the Scripps Ranch area of San Diego. We are looking for a Recruiting Specialist...
Department Information The Department of Regulatory Agencies (DORA) is dedicated to preserving the integrity of the marketplace and is committed to promoting a fair and competitive business environment in Colorado. Consumer protection is our mission. DORA is a progressive, innovative government agency where employees and customers alike are valued. In an effort to align with Governor Hickenloop...