Company Description: We are a regional financial services firm serving the panhandle and central Florida. While many financial products offered by firms are similar, our customer...
Job Status: Full-time Location: Searcy, AR Approx. Hours of Work: Monday - Friday 8:00 am - 5:00 pm Salary: Commission Education/Training: College degree in business or finance...
Financial Advisor Professionals Serving Professionals in a Thriving Industry True professionals have always sought like-minded individuals to serve their needs. You have an...
Job Description: DESCRIPTION. Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for!...
Financial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...
Company Description: Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities...
Job Description: Financial Advisor New York Life Melville, NY PARTNER WITH US AND SEE YOUR CAREER GROW WITH NEW YORK LIFE GREATER LONG ISLAND OFFICE IN MELVILLE,NY! We are looking...
Join AXA Advisors, LLC - As an affiliate of AXA Equitable Life Insurance Company (NY,NY) and a member of the AXA Group*, one of the world's most admired financial services...
Requirements: Bachelors Degree 2 to 5 years experience Series 7 License Series 66 or 63 and 65 license Life/Health license Experience selling securities/insurance Banking or...
Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
At Duffy Wealth Management we commit our energies intellect and experience in helping to attain the financial goals of our clients by providing the highest level of service and...
Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Company Description: Headquartered in Martin County, FL, Seacoast Bank, a $3.0 billion Institution, is unrivaled among community banks and state wide regional banks alike!...
Job Description: Not all financial services companies are the same. Product offerings, producer support, ongoing training and marketing vary widely. With Hoopis Financial Group of...
Company Description: Insurance and Financial Services Job Description: Financial Adviser / Registered Representative / Agent Career Description: Financial Professionals help...
Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services...
Company Description: Thrivent Financial is a financial services organization that helps Christians be wise with money and live generously. We offer a broad range of products and...
Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Company Description: Founded in 1994, Williams Asset Management is an award-winning, privately-owned investment advisory services and wealth management firm, located in Columbia,...
Responsibilities Provide financial advice and counseling to customers and prospects through the sale of mutual funds, government, municipal and corporate bonds, fixed and variable...
Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Lake Michigan Credit Union is one of the largest financial institutions in Michigan and was established in 1933. We are seeking customer oriented individuals to join our team and...
Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Job Description: Cornerstone Financial Group If you're tired of sitting on the sidelines and applying for dead-end jobs and are ready to embark on a stable, fast-paced career with...
Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Job DescriptionProvide systems administration (implementation, management and operational support) and technical expertise for assigned systems, including provisioning,...
Job DescriptionThe Financial Sales Leader in The Ameriprise Advisor Center(AAC) is responsible for driving results by providing frontline leadership, development and coaching to a...
Job DescriptionThe Interactive Department is responsible for the Auto & Home interactive web strategy. This position assists with the implementation of interactive project...
Job DescriptionDrive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable...
Job DescriptionProvides strategic oversight to company performance on key metrics and develops/influences plans to create or improve results i.e. product features, sales, service,...
Job DescriptionResponsible for developing and monitoring indicated rates for Auto, Homeowners, Umbrella, and/or Travel products both in aggregate and by rating plan, preparing...
Job DescriptionThe Client Support Associate position in the Ameriprise Advisor Center (AAC) is responsible for delivering effective support and service to clients and advisors,...
Drive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable growth through...
Drive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable growth through...
Drive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable growth through...
The Financial Advice Regional Sales Consultant provides subject matter expertise on financial planning concepts, process and tools. The Consultant is accountable for maximizing...
Ameriprise Auto & Home (AAH) is looking for a motivated Sr. Manager - Business Insights Analyst to join the Performance & Insights team responsible for establishing and enhancing...
The Client Support Associate position in the Ameriprise Advisor Center (AAC) is responsible for delivering effective support and service to clients and advisors, delivering a high...
The Compliance Officer will conduct Branch Office and Office of Supervisory Jurisdiction FINRA required inspections, including Ameriprise Advisor Center, Centralized Supervision...
Job DescriptionDrive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable...
Job DescriptionThe Ameriprise Investment Research Group is currently looking for a Sr. Equity Research Analyst to cover the Energy and Utilities sector. This role plays an...
Job DescriptionThe Product Manager - Alternative Investments will primarily support the REIT product lines within the Alternative Investments team and will be able to expand their...
Job DescriptionResponsible for supporting the state rate filing process and aid in the development of pricing decisions. Responsibilities include rate documentation, rate...
Job DescriptionThis position is responsible for adjusting intermediate level homeowner's claims within delegated settlement authority limits and ensures compliance with state and...
Job DescriptionProvide support to the Home Claims unit through vendor management duties and participation in projects within defined scope and responsibility. Lead all vendor...
Job DescriptionProvides strategic oversight of company performance on key metrics and develops plans to create and improve results i.e. product features, sales, service,...
Job DescriptionAssist clients via warm leads to educate, provide quotes and sell any, or all, of the following insurance products - auto, home/renters/condo, and umbrella...
Job DescriptionThis position is responsible for adjusting intermediate level homeowner's claims within delegated settlement authority limits and ensures compliance with state and...
Job DescriptionThis position is responsible for adjusting highest level automobile or homeowner's claims within delegated settlement authority limits and ensures compliance with...
Job DescriptionThis representative is responsible for handling home losses greater than $100,000.00. The representative flies to the location of the loss and handles all...
Job Title: Executive Assistant Job ID: 104664 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...
Job Title: Manager, HR Relationship Job ID: 104658 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A leader in brokerage...
Job Title: Analyst II, Market Risk Job ID: 104632-1 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...
Job Title: Investment Consultant - Philadelphia, PA Job ID: 104663 Job Location: Philadelphia, Pennsylvania Employment Type: Full-Time Contract Type: Regular Manager Level: Second...
Job Title: Custody Ops Rep, Middle Office Job ID: 104650 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Support Level A leader in...
Job Title: Desktop Support Representative Job ID: 104624 Job Location: Denver, Colorado Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...
Job Title: Manager, Retail Cross Sell Support Programs Job ID: 104635-1 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A...
Job Title: Manager, Retail Cross Sell Support Programs Job ID: 104635 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A...
Job Title: Sr Administrative Assistant Job ID: 104611 Job Location: Chicago, Illinois Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...
Job Title: Investment Consultant - Miami, FL Job ID: 104647 Job Location: Miami, Florida Employment Type: Contract Type: Regular Manager Level: Second Level Professional A leader...
Job Title: Investment Consultant - Chesterfield, MO Job ID: 104640 Job Location: Chesterfield, Missouri Employment Type: Full-Time Contract Type: Regular Manager Level: Second...
Job Title: Sr Software Developer Job ID: 104633 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional A leader...
Job Title: Software Development Consultant Job ID: 104634 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A leader...
Job Title: Sr Analyst, HRIS PeopleSoft Job ID: 104582 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional A...
Job Title: Analyst II, Market Risk Job ID: 104632 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A leader...
Job Title: Investment Consultant - Campbell, CA Job ID: 104631 Job Location: Campbell, California Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...
Job Title: Senior Middleware Support Engineer Job ID: 104612 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A...
Job Title: Representative, Retail Trading Job ID: 104630 Job Location: Chicago, Illinois Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional...
Job Title: Business Development Specialist - Corte Madera, CA Job ID: 104623 Job Location: Corte Madera, California Employment Type: Full-Time Contract Type: Regular Manager...
Job Title: Administrative Assistant Job ID: 104622 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional...
Job Title: Investment Consultant - Tampa, FL Job ID: 104628 Job Location: Tampa, Florida Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional...
Job Title: Investment Consultant - Omaha, NE (National Branch - Plains States) Job ID: 104626 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular...
Job Title: Investment Consultant - Fort Worth, TX (National Branch - East) Job ID: 104627 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager...
Job Title: Investment Consultant - Beachwood, OH Job ID: 104625 Job Location: Cleveland, Ohio Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...
Job Title: Quality Assurance Engineer Job ID: 104610 Job Location: Ann Arbor, Michigan Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...
Chase Wealth Management Market Director Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global...
Chase Wealth Management Market Director Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global...
Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
J.P. Morgan Global Wealth Management provides a full spectrum of investment and other product solutions to high net worth and ultra high net worth investors. We offer broad...
The Emerging High Net Worth business is a part of JPMorgan's Private Wealth Management business. Private Wealth Management (PWM) is a wealth management business of JPMorgan...
J.P. Morgan Private Bank Investment Specialist Job Description J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments...
About JP Morgan Chase & Co. JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.2 trillion. The firm is a leader in investment banking,...
Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...
J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...
About JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include...
Chase Investment Services - Investment Support Associate I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted...
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...
Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
The Supervision Project Manager will represent Supervision in the development and management of business related projects and applications. Beyond defining project requirements...
Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...
Chase Wealth Management Market Director-**Open to Dallas and Houston locations Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase &...
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...
Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of...
Vice President, Relationship Manager Senior, Corporate Client Banking - Western Region -General Industries Group, Los Angeles Description: The position is a corporate banking...
J.P. Morgan Global Wealth Management Suitability, Project Manager - Associate The Wealth Management division of J.P Morgan Chase & Co is part of the Asset & Wealth Management...
scenes to power transformational change for broker-dealers, registered investment ... Five Years AML /Compliance / KYC experience preferred...
a Compliance Manager to assist the Chief Compliance Officer in overseeing and carrying ... adviser, investment company and broker-dealer. Primary responsibilities are...
and inquiries; Design and deliver targeted compliance training; Research, investigate ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...
* Looking for a compliance officer for Trade Finance (Letters of Credit) * Background with AML * Risk experience , , * 5-10 years compliance * AML and Trade Finance for Letters of...
industry Experience in the Broker-Dealer or financial industry back office, ... selling agreements, due diligence,broker dealer, broker-dealer, broker/dealer, BD,...
and correspondence. Interfaces with FINRA employees, management and others and ... and effective communications with FINRA employees and managers on sensitive...
- FINRA (NASD) Licenses required: Series 7, 63/66, 65/66 ... - Demonstrated track record of followingcompliance policies, principles, and...
and documenting information to ensure compliance requirements are met. * Liaison ... Maintain all appropriateFINRA/other licenses and requirements up to date...
all meeting activity for performance and compliance evaluation Maintain continual ... practices must be incompliance with the FINRA Rules of Fair Practice Guidelines...
The RIA Compliance Analyst will be responsible for the oversight functions of ... industry experience Compliance experience and knowledge of RIA market or Hybrid RIAs...
Services, Inc., Member FINRA and SIPC. © 2011 Ameriprise Financial, Inc. All ... limits and ensures compliancewith state and internal requirements. Investigates,...
college degree, MBA preferred. FINRA Series 7, 63 & 66. Series 9/10 & 24 ... Excellent compliance record and knowledge of compliance requirements.Develop book of...
FINRA Series 7, 24, 63/66, 65/66 and 9/10 required ... registration and compliance requirements; adhere to firm's policies and procedures and...
REQUIREMENTS: FINRA Series 7 and 66 or (63 & 65) licenses, also FINRA Series 8 or (9 & 10) ... Brokerage industry, to include knowledge of compliance regulations, investment markets,...
Timely and accurate input of trade tickets Compliance documentation and reporting ... is a fast-paced environment is preferred FINRA Series 7 & Series 63 licenses are...
6 licensed representatives meets PNCI Compliance and governing body regulations and ... industry, to include knowledge of compliance regulations, investment market, securities...
partners to understand rate, regulatory and compliance implications to the quote and bind ... Annuities licensing and/or FINRA 6 & 26 Securities registration, CLU,...
The Compliance person ("Compliance") will assist in the review, ... compliance and business groups to providecompliance advisory services. Providing...
Officer (AVP/VP level) in their Ethics & Compliance Department. This role will be ... and/or self-regulatory organization in a compliance or regulatory related position...
business cases for compliance with internal, FINRA , and SEC suitability and replacement ... Working hours: First Shift MUST HAVE: FINRA Series 7 and 24 license required. FINRA...
to convey key messages * Adhere to all compliance/risk procedures, follows corporate and ... memberFINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...
registration required in addition to meeting FINRA continuing education requirements, ... and Variable Annuity License required Strong compliance record in prior position(s)...
registration required in addition to meeting FINRA continuing education requirements, ... and Variable Annuity License required Strong compliance record in prior position(s)...
registration required in addition to meeting FINRA continuing education requirements, ... and Variable Annuity License required Strong compliance record in prior position(s)...
Investors, Business Leaders, Legal and Compliance. The team coordinates information, ... project management software experience FINRA Series 7 or 99 licensing required within 1...
minutes, compliance policies and procedures, compliance certifications and compliance ... documentation requests Update and maintain compliance bulletins Prepare and process...
Lead and/or support Compliance initiatives and complete special projects as assigned ... insurance and/or financial services compliance experience. FINRA Series 6 or 7 license a...
Jackson internal/external sales, legal/compliance and marketing. Facilitate ... Accounts; Bachelors Degree; andFINRA Series 6 or 7. Jackson offers an outstanding...
Element and all Learning Mandates * FINRA CE compliance * Management of the Supervisor ... consolidation, personnel processes, audit/compliance, premises, and coordination of...
reviews, mitigating risk and providing compliance support within the Compliance ... Skill in: Conducting and analyzing very complex compliance reviews and/or materials to ide...
Counsel opening with the Office of General Counsel, Regulatory Practice & Policy Group ... regulatory initiatives. * Represent FINRA before industry groups. * Prepare...
FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... relevant rules and regulations thereunder, FINRA's rules, MSRB Rules, and FINRA's Code...
The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual ... or assist in representing the FINRA in disciplinary hearings as its staff attorney,...
and placement agent activities. The Attorney will also review marketing ... risks, and strategic initiatives. TheAttorney will assist in completing various...
A&Q is seeking an attorney specializing in private and registered investment funds ... across different jurisdictions, the attorney will be expected to work and...
This senior attorney will provide counsel and advice to various internal ... state insurance laws and regulations,FINRA Rules, the Investment Company Act of...
The Senior Counsel General Brokerage Services role will have responsibility for providing ... This attorney will provide guidance on various agreements, provide counsel to business uni...
and able to obtain Registered In-House Counsel status in California or New York, as ... Company tax rules is a plus Knowledge of FINRA rules, NYSE listed company rules and...
counsel. Evaluates requests of firms seeking FINRA's position on whether a proposed ... executives, consultants/counsel and FINRA management, including information...
FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA...
of 1940, Investment Company Act of 1940, and FINRA rules, to join our investment adviser ... Securities and Exchange Commission (SEC), FINRA and states. Regulatory filings include...
and placement agent activities. The Attorney will also review marketing ... risks, and strategic initiatives. TheAttorney will assist in completing various...
clients and render valuable strategic counsel; Effectively drafting ... communication; attorney must be comfortable communicating with sophisticated clients...
Description: Provides general legal counsel to AMGs investment management ... of the Securities Act of 1933, SEC and FINRA rules and regulations. Familiarity with...
employment arbitrations. -Manage outside counsel, including overseeing budgets and expenses. -Maintain regular reports and frequent dialogue with Special Investigations Unit team...
Description: Provides general legal counsel to AMGs investment management ... Investment Advisers Act of 1940, and SEC, FINRA and CFTC rules and regulations.
executives, consultants/ counsel and FINRA management, including information ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is...
staff, enforcement attorneys and other FINRA staff in the evaluation of ... executives, consultants/ counsel andFINRA management, including information...
This senior attorney will provide counsel and advice to various internal ... state insurance laws and regulations,FINRA Rules, the Investment Company Act of...
Operations departments to further FINRA s regulatory and businessobjectives. ... the RockvilleEnforcement Program and other FINRA departments, including Member...