Broker jobs in Mount Vernon, New York (NY) State

Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world's leading provider of OTC data, and an award winning all-to-all trading platform. Across all asset classes, Tullett Prebon offers e-solutions to give...

An expanding company in Nassau County is seeking a Licensed Insurance Broker to join their team, specializing in both Personal and Commercial departments. Transmit necessary information to clients and brokers, including ID cards, DEC pages, applications, and quotes. Assist applicants and brokers ...

Seeking 2-5 years of compliance experience at a highly regulated investment bank or broker dealer. ...

The ideal candidate has 2+ years of CSR (Licensed insurance broker) experience within Personal or Commercial Lines. Process and transmit (via fax, email, or mail) necessary information to clients and brokers such as ID Cards, DEC pages, applications, quotes, etc. Assist applicants and brokers wit...

Responsibilities will include leading a team in reviewing all marketing materials and client communications generated by their registered broker dealer subsidiary and SEC registered investment advisors. ...

An expanding company in Nassau County is seeking a Licensed Insurance Broker to join their team, specializing in both Personal and Commercial departments. Transmit necessary information to clients and brokers, including ID cards, DEC pages, applications, and quotes. Assist applicants and brokers ...

Once a brokerage partner is appointed to assist with the diligence campaign, post-close budget or any transactional risk finance products (D&O run-off, Reps & Warranties, Environmental, Tax Indemnities), the candidate will be ensure that brokers have access to all diligence data and are able to p...

Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements. Designing and implementing a comprehensive broker-dealer compliance program, protecting the firm from regulatory risk. ...

Compliance Officer - US Broker-Dealer**. You will have a primary focus as the deputy compliance officer for a US broker-dealer compliance program. Provide guidance and technical expertise that supports the design, implementation and oversight of the Compliance Program established to support a bro...

Once a brokerage partner is appointed to assist with the diligence campaign, post-close budget or any transactional risk finance products (D&O run-off, Reps & Warranties, Environmental, Tax Indemnities), the candidate will be ensure that brokers have access to all diligence data and are able to p...

Work with Account Managers, Brokers, and Clients to collect premiums due. ...

Once a brokerage partner is appointed to assist with the diligence campaign, post-close budget or any transactional risk finance products (D&O run-off, Reps & Warranties, Environmental, Tax Indemnities), the candidate will be ensure that brokers have access to all diligence data and are able to p...

Ability to develop a deep understanding of issues impacting brokers, broker policies and the broker handbook. As we grow our core business through increased inventory offerings, were looking for a Broker Experience Expert to be on the front line, responding to broker inquiries and building relati...

A firm with the tech/innovation to own strong global capability, but still very much operate as a 'traditional' insurance broker in today's insurance market. ...

Wordsensa, Broker Buddha, CSR24. ...

Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three institutional FINRA registered ...

The New York Life Office of General Counsel is seeking a strategic and practical retail broker-dealer attorney to join the legal team supporting New York Life’s Wealth Management division, consisting of NYLIFE Securities, a registered introducing broker-dealer, and Eagle Strategies, a registered ...

This position is primarily responsible for working with the Vice President, Broker-Dealer/Investment Adviser Group, to develop and direct OGC’s program with respect to regulatory matters requiring specialized expertise in the regulation of broker-dealer/investment advisers (BD/IAs), including ren...

Identify, assess, and monitor liquidity risks related to the firm’s broker-dealer and other trading activities (prime brokerage, secured funding, derivatives). Experience in Broker Dealer products such as Prime Brokerage, Margin loans, client shorts, Secured Funding and related area is preferred....

Creating and developing Knowledge Share documentation on regulatory topics related to broker-dealers. Understanding of other relevant SEA, CFTC, FINRA, and/or NFA rules pertaining to broker-dealer reporting requirements. Proficiency in AxiomSL Broadridge, and/or other relevant broker-dealer back-...

RSM is looking for a Manager to join our Capital Markets practice, which specializes in serving, introducing and clearing Broker Dealer clients of the firm. RSM is one of the largest assurance firms serving broker dealers across the nation. ...

A leading International Broker-Dealer, located in New York, NY, is seeking a Market Risk Analyst to join their growing team. ...

The Regional Broker Manager is responsible for strategic leadership of Haleon's brand portfolio with their broker/sales agency partner at their assigned customers. The successful National Broker Manager will unite the strengths of the agency/broker partner with Haleon for competitive advantage. T...

Aon is looking for a Senior Property Broker. The senior broker role is responsible for developing and implementing strategic risk management solutions for large, global clients. The senior broker will be instrumental in the analysis of client’s exposures to identify and mitigate risk as well as r...