Broker jobs in New York, NY - Page 4Create job alerts

You'll work closely with dub's CCO and senior leadership to ensure compliance, broker-dealer administration, and advisory oversight within a regulatory framework. You'll play a key role in managing regulatory and operational tasks related to both broker-dealer and advisory operations, due diligen...

Direct the process for the selection of ESD's insurance broker and manages overall broker performance requirements for the life of the contract. Direct the RFP process for the selection of any ESD insurance consultants. Assist the Department Head in standardizing contract insurance requirements w...

Aons Cyber Solutions is uniquely qualified to offer clients tools to assess, test, quantify, transfer, and respond to cyber risk exposures. Aon is recognized as one of the industrys premier resources in cyber risk management, and our multidisciplinary team of 600+ global professionals offers stro...

Being independent gives our brokers the freedom to deliver the best solutions and combined with our collaborative team approach, single platform worldwide and renowned personal service, we are the independent broker of choice. Mentor junior brokers, sharing best practices and industry knowledge; ...

The AGCN Broker II is responsible for the management of a complex portfolio of global accounts, including placement and service, and ensuring multinational client deliverables are maintained. The Broker II will support clients and colleagues in making better decisions through promoting and ensuri...

Provide leadership, mentoring and direction to brokers, associate brokers and other colleagues in the development of their broking knowledge and transaction expertise. Provide leadership, mentoring and direction to brokers, associate brokers and other colleagues in the development of their brokin...

Adecco is seeking a motivated individual for a VP Broker within our expanding specialist reinsurance broking team. This is an opportunity to join a dynamic and collaborative team, providing support to existing clients as well as cultivating new business with insurance companies and retail brokers...

We are seeking an industrious, analytical broking talent with a successful background in reinsurance brokerage or underwriting to work as a key member of the treaty team in Manhattan! This is a client-facing role in a setting that involves multi-stakeholder collaboration to drive value to the ret...

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. For each asset class, ICAP offers e-trading capability, giving clie...

As the broker-dealer CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the broker-dealer compliance program remains effective and efficient in identifying, preventing, detecting and remediating regulatory issues. A minimum of ten years of ...

Collaborates with retail agencies and brokerages, serving as a key intermediary between insurance markets and retail brokers, and addressing their needs. As an Inside Broker you'll collaborate with brokers to provide efficient service and strategically place commercial accounts, ensuring high cli...

The brand has an excellent infrastructure to enable brokers to effectively utilize their network, experience, and skills base. ...

The Portfolio Strategy Consultant will partner with National Accounts, Sales, Product and Marketing to drive research analyst recommendations, model placement, and assist in overall visibility of MSIM/EV strategies at focus broker dealers; in order to drive sales/AUM growth. Portfolio Strategy Co...

Our New York operations provide a gateway between the UK and North America for financial institutions and large corporate clients, offering core banking products such as lending, trade finance, debt capital and financial markets services through our US broker dealer, Lloyds Securities Inc. Lloyds...

Work with other members of the broker research team to continuously streamline the broker onboarding process. Manage and maintain strong new and ongoing broker and independent research relationships with key decision makers, product and technology teams at individual broker and independent resear...

The iCapital Solutions team develops and manages the technology platform experience with many of iCapital’s largest clients, including investment banks, broker-dealers, private banks, and RIAs throughout the United States. Capital has been named to the Forbes Fintech 50 for seven consecutive year...

We're looking to speak with an experienced reps and warranties Broker or Underwriter interested in taking the step into management - a globally recognized brand, you will inherit an existing, high performing team and take responsibility for the operation in New York in a leadership role with P&L ...

Specifically, the individual will be responsible for establishing and executing governance routines, overseeing the coordination of CBNA and Broker Dealer ALCOs, overseeing the Regulation W responsibilities of the team, serving as the single point of contact for the broader team for all Treasury-...

Communicate compliance issues and trends and provide routine compliance reports to management. You will provide guidance and technical expertise that supports the design, implementation and oversight of the compliance program established to support the broker-dealer and will monitor and act upon ...

Reasonable accommodations may be made to enable individuals with disabilities to perform essential functions. Partners with Sales and Services teams to define ongoing best practices for onboarding tasks. Experience with AML and/or banking/broker dealer product onboardings.

The Analyst will work closely with our attorneys and other legal and compliance personnel and will also interface with the firm’s investment banking personnel. We are seeking an Analyst to provide compliance monitoring and support in connection with our broker-dealer compliance program. The Analy...

Ensuring regulatorypliant reporting, and all aspects of general ledger integrity and balance sheet substantiation.Developing a good understanding of the investment bank product set and systems and how these interface into the financial reporting process.Develop a sound understanding of US GAAP re...

Aon is looking for a Broker II – Credit & Political Risk. Currently, we have an exciting career opportunity for a Broker II preferably in our New York, NY office or would consider candidates in our Chicago, IL or Washington DC locations. Our team of specialist brokers, consultants and in-house cl...

Adequate understanding of the private funds sector, broker-dealers, or related industries. SEC-registered investment adviser or FINRA broker-dealer. ...