EMPLOYMENT TUESDAY at BrokerAndBroker.com

March 3, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: stockbrokers, advisors, lawyers, regulators, compliance officers, and 
back-office staff.
  

Click POST A JOB and your position will be promptly listed.  
Only $50 for 30 days! 

SALES and SUPPORT JOBS
  • General Clerk-Securites Industry 

    NEW

    Randstad Arizona Region

     - Phoenix, AZ

    1) javascript:location.href this.value; your historyGeneral Clerk-Securites Industry General Clerk-Securites Industry /b b Location: /b Phoenix, AZ b Salary: /b US$ 12 - US$ 14.10...

    11 minutes ago from Jobing.com
     
  • Business Development Manager 

    NEW

    Pf1professional Services

     - Clearwater, FL

    As a Business Development Manager (a.k.a. External Wholesaler), your main objective is to work closely with your partner (i. e., Business Development Specialist (a.k.a. Internal...

    21 minutes ago from Jobvertise
     
  • Stock Broker 

    NEW

    National Securities

     - Boca Raton, FL

    Highly motivated individuals for Financial Trainee Program Training preparation and firm sponsorship for series 7&63 Entry level placement in the financial representative training...

    21 minutes ago from Jobvertise
     
  • Marketing Director (Mutual Fund Platform) (00928705) 

    NEW

    Selby Jennings Strategy

     - New York City, NY

    Marketing Director (Mutual Fund Platform) * Salary: $150000 - $250000 per annum * Location: New York, NY, USA * Job Type: Permanent, Full time * Company: Selby Jennings Strategy *...

    21 minutes ago from eFinancialCareers Ltd
     
  • Graduate/Undergraduate Intern - Financial Reporting 

    NEW

    Finra

     - Rockville, MD

    We Work to Protect Investors. Join our Team. 2015 Summer Internship Program FINRA is dedicated to providing you with an internship opportunity to gain knowledge and experience in...

    2 hours ago from FINRA
     
  • 1016 SAS Analyst (Capital Markets exp) 

    NEW

    Reqroute

     - New York City, NY

    SAS analyst with Mathematical background security industry experience Location : NYC, NY Duration: 12 months + extension EXCEL & MATHEMATICAL MODELLING BA ROLE (headcount of 2...

    3 hours ago from Mx Group
     
  • Teller 

    NEW

    Signature Bank

     - Bronx, NY

    Teller Join a winning team Signature Bank topped Forbes 2015list of Best Banks in America and has been on their top ten list for fiveconsecutive years Signature Bank member FDIC...

    3 hours ago from WisdomJobs.us
     
  • Director of Professional Services 

    NEW

    Deloitte Development

     - Leavenworth, KS

    Application Management Services: Provide complete operations services for application management, custom development, and business process outsourcing for clients. Develop the...

    3 hours ago from Deloitte Development LLC
     
  • Senior Financial Advisor 

    NEW

    Communityamerica Credit Union

     - Lenexa, KS

    CommunityAmerica Credit Union, one of Kansas City's Best Places to Work, isn't just another job. It's about careers, and working for a higher calling, a noble cause - helping...

    4 hours ago from CommunityAmerica Credit Union
     
  • Business Development Manager 

    NEW

    Pf1professional Services

     - Clearwater, FL

    As a Business Development Manager (a.k.a. External Wholesaler), your main objective is to work closely with your partner (i. e., Business Development Specialist (a.k.a. Internal...

    4 hours ago from AccountingJobsToday.com
     
  • Compliance Analyst 

    NEW

    AIG Financial Advisors

     - Oakdale, MN

    Position Description Conduct approximately 100-120 exams per year. • Travel independently 50% of the time. • Schedule and discuss exam expectations with the OSJ and Satellite...

    4 hours ago from BrokerHunter.com
     
  • Operations Processor II 

    NEW

    AIG Financial Advisors

     - Atlanta, GA

    Position Description Responsible for processing client cashiering requests for retail and retirement brokerage accounts. Assist with monitoring the workflow and day-to-day...

    4 hours ago from BrokerHunter.com
     
  • Licensed Banker 

    NEW

    Citizens Financial Group

     - Somerville, MA

    Responsibilities At Citizens Financial Group, Inc. we empower colleagues to be the best they can be, each and every day. We are a leader in the financial services industry and we...

    5 hours ago from Citizens Bank
     
  • Compliance Administrator 

    NEW

    Vanguard

     - Valley Forge, PA

    Vanguard, one of the world's largest investment management companies and a recognized employer of choice, seeks a Compliance Administrator to utilize the Series 24 and 4 licenses...

    5 hours ago from Vanguard
     
  • Stock Broker 

    NEW

    National Securites

     - Boca Raton, FL

    Seeking highly motivated individuals for Financial Trainee Program Training preparation and firm sponsorship for the Series 7&63 licensing exams Entry level placement in the...

    6 hours ago from Job Spider
     
  • Financial Consultant 

    NEW

    Century Bank

     - Medford, MA

    Returning Candidate? Log back in! Financial Consultant All times are in Coordinated Universal Time. # Positions 1 Location US-MA-Medford Experience (Years) .. Posted Date...

    7 hours ago from Century Bank
     
  • Transaction Advisory Services Senior - Investment Banking Life Sciences Associate 

    NEW

    Ernst Young

     - New York City, NY

    Ernst & Young's Transaction Advisory Services (TAS) practice offers companies an array of professional services around the entire transaction cycle. Our Mergers and Acquisitions...

    7 hours ago from Ernst Young
     
  • Amerivest Support Representative (104783) 

    NEW

    TD Ameritrade

     - Fort Worth, TX

    Job Title: Amerivest Support Representative Job ID: 104783 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager Level: First Level...

    7 hours ago from TD Ameritrade
     
  • Analyst Product Management Amerivest (104786) 

    NEW

    TD Ameritrade

     - Jersey City, NJ

    Job Title: Analyst, Product Management, Amerivest Job ID: 104786 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: First Level...

    7 hours ago from TD Ameritrade
     
  • Investment Consultant Indian Wells CA (104685-1) 

    NEW

    TD Ameritrade

     - Los Angeles, CA

    Job Title: Investment Consultant - Indian Wells, CA Job ID: 104685-1 Job Location: Los Angeles, California Employment Type: Full-Time Contract Type: Regular Manager Level: Second...

    7 hours ago from TD Ameritrade
     
  • Investment Consultant Denver CO (Denver Tech) (104785) 

    NEW

    TD Ameritrade

     - Denver, CO

    Job Title: Investment Consultant - Denver, CO (Denver Tech) Job ID: 104785 Job Location: Denver, Colorado Employment Type: Full-Time Contract Type: Regular Manager Level: Second...

    7 hours ago from TD Ameritrade
     
  • AM - Investment Middle Office Product Support Analyst 

    NEW

    JPMorgan Chase

     - New York City, NY

    The Investments Middle Office embraces a set core values that underlie the foundation of a high performance culture, guiding how we act as individuals and how we interact with...

    7 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Market Director - Foothills 

    NEW

    JPMorgan Chase

     - Upland, CA

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Market Director - Belmont Shore 

    NEW

    JPMorgan Chase

     - Long Beach, CA

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Pewaukee, WI

    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...

    7 hours ago from JPMorgan Chase & Co
  • Chase Private Client Investment Associate - Lexington, KY (Lexington Main) 

    NEW

    JPMorgan Chase

     - Lexington, KY

    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 %242.3 trillion and...

    7 hours ago from JPMorgan Chase & Co
     
  • Private Client Advisor - Chase Wealth Management - Arlington, Texas Area 

    NEW

    JPMorgan Chase

     - Arlington, TX

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - International Financial Services - Senior Financial Consultant (LICENSES & SECOND LANGUAGE FLUENCY REQUIRED Spanish, Portuguese and/or Mandarin/Cantonese) 

    NEW

    JPMorgan Chase

     - New York City, NY

    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 %242.3 trillion and...

    7 hours ago from JPMorgan Chase & Co
     
  • Private Client Advisor - Chase Wealth Management - Flower Mound Area 

    NEW

    JPMorgan Chase

     - Denton, TX

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Customer Complaints Chase Wealth Management - Associate 

    NEW

    JPMorgan Chase

     - Columbus, OH

    Description JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of %242 trillion and operations in more than 60 countries. The firm is a...

    7 hours ago from JPMorgan Chase & Co
     
  • Asset Management Latin America Private Bank Client Service Associate 

    NEW

    JPMorgan Chase

     - Miami, FL

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Private Client Advisor - Chase Wealth Management - Frisco/Plano Area 

    NEW

    JPMorgan Chase

     - Plano, TX

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Private Client Advisor - Chase Wealth Management - Fort Worth (Downtown Area) 

    NEW

    JPMorgan Chase

     - Fort Worth, TX

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor 

    NEW

    JPMorgan Chase

     - Nanuet, NY

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Intake Analyst - Global Compliance Operations 

    NEW

    JPMorgan Chase

     - Newark, DE

    JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of %242 trillion and operations in more than 60 countries. The firm is a leader in...

    7 hours ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Crossroads South Albertsons 

    NEW

    JPMorgan Chase

     - Lafayette, LA

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Senior Compliance Officer 

    NEW

    INVESCO

     - Atlanta, GA

    Invesco Ltd. is a leading independent global investment management firm, dedicated to helping investors worldwide achieve their financial objectives. By delivering the combined...

    9 hours ago from Invesco Ltd.
     
  • AVP, Advertising Compliance 

    NEW

    Jackson National Life Insurance Company

     - Denver, CO

    Jackson National Life Distributors LLC (JNLD) has an opening for an Assistant Vice President, Advertising Compliance. JNLD markets and wholesales Jackson National Life Insurance...

    9 hours ago from Jackson National Life Insurance Company
     
  • Internal Annuity Wholesaler 

    NEW

    InsurMark

     - Houston, TX

    Company Description: InsurMark specializes in the distribution of financial products, focusing in the fixed annuity, life and long term care industry. We promote and market the...

    9 hours ago from ZipRecruiter
     
  • INVESTMENT SERVICES PARTNER I 

    NEW

    PNC

     - Cleveland, OH

    As an Investment Service Partner I you are responsible for coordinating, monitoring controls and responding to moderately complex or specialized requests and issues made by...

    9 hours ago from PNC
     
  • BRANCH FINANCIAL ADVISOR 

    NEW

    PNC

     - Decatur, AL

    As a PNC Financial Advisor you will become part of PNC Investments, a specialized subsidiary of PNC Bank that provides products and services for individuals interested in...

    9 hours ago from PNC
     
  • National Accounts Manager 

    NEW

    MFS Investment Management

     - Boston, MA

    About MFS®: In 1924 MFS® established the first mutual fund to help make the US stock market more accessible to the average investor. Today, that commitment to investors remains...

    9 hours ago from MFS Investment Management
     
  • 1016 SAS Analyst (Capital Markets exp) 

    NEW

    Reqroute

     - New York City, NY

    SAS analyst with Mathematical background security industry experience Location : NYC, NY Duration: 12 months + extension EXCEL & MATHEMATICAL MODELLING BA ROLE (headcount of 2...

    9 hours ago from ReqRoute,Inc
     
  • Trading/Service Specialist I 

    NEW

    Raymond James

     - Memphis, TN

    Job Summary: Under general supervision, uses specialized knowledge and skills obtained through experience and/or specialized training and certification to provide financial...

    9 hours ago from Raymond James
     
  • External Wholesaler I 

    NEW

    Raymond James

     - Indianapolis, IN

    Candidate can work out of Michigan or Indiana Job Summary: Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education...

    9 hours ago from Raymond James
     
  • Retirement Planning Consultant - Atlanta 

    NEW

    Transamerica

     - Georgia

    Transamerica Retirement Solutions, a leader in the retirement services marketplace is creating a culture of SuperSavers and is looking for a full time Retirement Planning...

    10 hours ago from Transamerica Corporation
     
  • Compliance Analyst 

    NEW

    American International Group

     - Atlanta, GA

    Position Description Conduct approximately 100-120 exams per year. • Travel independently 50% of the time. • Schedule and discuss exam expectations with the OSJ and Satellite...

    10 hours ago from American International Group
     
  • Operations Processor II 

    NEW

    American International Group

     - Atlanta, GA

    Position Description Responsible for processing client cashiering requests for retail and retirement brokerage accounts. Assist with monitoring the workflow and day-to-day...

    10 hours ago from American International Group
     
  • Financial Planning Advisor 

    NEW

    American International Group

     - Atlanta, GA

    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.

    10 hours ago from American International Group
     
  • Financial Planner 

    NEW

    Garlikov & Associates

     - Columbus, OH

    Job Description: Financial Planner As a leading Central Ohio M Financial Company, our boutique investment advisory firm seeks an experiencedFinancial Plannerto join our team. The...

    10 hours ago from ZipRecruiter
  • Account Executive - Financial Sales - Westport, CT 

    NEW

    David Lerner Associates

     - Mill Neck, NY

    Description Come to our Career Seminar! Thursday, April 9, 2015 1221 Post Road East, Suite 200; Westport, CT 06880 David Lerner is hiring Account Executives for Financial Sales!...

    10 hours ago from David Lerner Associates, Inc
     
  • Account Executive - Financial Sales - Westport 

    NEW

    David Lerner Associates

     - Seymour, CT

    Description Come to our Career Seminar! Thursday, April 9, 2015 1221 Post Road East, Suite 200; Westport, CT 06880 David Lerner is hiring Account Executives for Financial Sales!...

    10 hours ago from David Lerner Associates, Inc
     
  • Account Executive - Financial Sales - Boca Raton 

    NEW

    David Lerner Associates

     - Lantana, FL

    Description Come to our Career Seminar! Thursday, March 19, 2015 Boca Raton Hilton Garden Inn; 8201 Congress Avenue Telephone number (561) 988-6610 David Lerner is hiring Account...

    10 hours ago from David Lerner Associates, Inc
     
  • General Clerk-Securites Industry 

    NEW

    Randstad USA Administration

     - Phoenix, AZ

    This position involves processing routine cashiering requests that support the activities associated within Brokerage Operations (check withdrawals, federal fund wires, ACH,...

    10 hours ago from www.randstad.com
     
  • Regional Financial Sales Leader (Partner) - Grand Island/Kearney 

    NEW

    Christianjobs.com

     - Grand Island, NE

    Job Description: Do you have a highly collaborative leadership work style? Are you passionate about strengthening communities by helping others? Do you want to work in an...

    10 hours ago from ChristianJobs.com
     
  • Plan Investment Analyst I 

    NEW

    CBIZ

     - Cumberland, MD

    Are you ready for a challenging and rewarding career? At CBIZ, we are looking for Star Performers who are ready and energized to help us reach our goals in a fast-paced and...

    11 hours ago from CBIZ, Inc.
     
  • Client Service Specialist 

    NEW

    Financial Advisor

     - Santa Rosa, CA

    Company Description: An established advising practice with a focus on individual service with a small team environment. General Job Description: To assist a financial advisor in...

    12 hours ago from ZipRecruiter
     
  • Account Services Associate 

    NEW

    Fogarty Knapp & Associates

     - Wilton, CT

    Report to Director of Account Services, become part of the Account Services Team! Respond to inquiries/requests from internal/external clients in a timely manner; develop...

    13 hours ago from AllCountyJobs.com
     
  • Financial Advisor - Independent/1099 - White Oak, PA Job 

    NEW

    CUNA Mutual Group

     - Mckeesport, PA

    Work Location: White Oak, Pennsylvania, United States CUNA Mutual Group/CUNA Brokerage Services, Inc., is seeking to partner with an independent advisor to provide financial...

    13 hours ago from CUNA Mutual Group
     
  • Financial Advisor - Independent/1099 - Greensburg, PA Job 

    NEW

    CUNA Mutual Group

     - Greensburg, PA

    Work Location: Greensburg, Pennsylvania, United States CUNA Mutual Group/CUNA Brokerage Services, Inc., is seeking to partner with an independent advisor to provide financial...

    13 hours ago from CUNA Mutual Group
     
  • Financial Advisor - Suncoast Credit Union Job 

    NEW

    CUNA Mutual Group

     - Brooksville, FL

    Work Location: Brooksville, Florida, United States We are seeking an uncommon professional to join our team as a Financial Advisor. Job Responsibilities: Serve Your Clients: 1.

    13 hours ago from CUNA Mutual Group
     
  • Financial Advisor - Virginia Credit Union Job 

    NEW

    CUNA Mutual Group

     - Richmond, VA

    Work Location: Richmond, Virginia, United States We are seeking an uncommon professional to join our team as a Financial Advisor. Job Responsibilities: Serve Your Clients: 1.

    13 hours ago from CUNA Mutual Group
     
  • BRANCH FINANCIAL ADVISOR 

    NEW

    PNC

     - Decatur, AL

    As a PNC Financial Advisor you will become part of PNC Investments, a specialized subsidiary of PNC Bank that provides products and services for individuals interested in...

    13 hours ago from PNC Bank
     
  • INVESTMENT SERVICES PARTNER I 

    NEW

    PNC

     - Cleveland, OH

    As an Investment Service Partner I you are responsible for coordinating, monitoring controls and responding to moderately complex or specialized requests and issues made by...

    13 hours ago from PNC Bank
     
  • Business Analyst 

    NEW

    Kelly IT

     - Baltimore, MD

    Seeking a Sr. Business Analyst to join our Baltimore, MD location. 6+ month temp to perm Job Description Sr. Business Analysts participate in the initiation, requirements, design,...

    13 hours ago from Dice
     
  • Director Amerivest Product Management (104776) 

    NEW

    TD Ameritrade

     - Jersey City, NJ

    Job Title: Director, Amerivest Product Management Job ID: 104776 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Director A...

    14 hours ago from TD Ameritrade
     
  • External Wholesaler 401k Mid Atlantic (100240) 

    NEW

    ADP

     - Ft. Washington, MD

    Req # 100240 Job Title External Wholesaler 401k - Mid Atlantic Job Category Sales Work Location Ft Washington PA (1125 Virginia Dr - 48004) Employment Status Full-Time Job...

    15 hours ago from ADPJobs
     
  • Administrative Manager 

    NEW

    UBS Ag

     - Long Beach, CA

    • Manage branch administration, including branch facilities and provide administrative support as needed for the Complex Admin Manager (e.g., HR processes, facilities, P&L,...

    15 hours ago from Global Compliance Jobs
     
  • Financial Planning Advisor - Atlanta 

    NEW

    AIG

     - Marietta, GA

    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...

    16 hours ago from AIG
     
  • Regional Supervision Manager 

    NEW

    AIG

     - New York, NY

    Responsible for the review of brokerage and directly-held transactions within the back-office systems; ensure those transactions are suitable based on stated firm policies and...

    16 hours ago from AIG
     
  • Senior Counsel Job 

    NEW

    BNY Mellon

     - Jersey City, NJ

    Senior Counsel (Job Number: 1410593) BNY Mellon is a global investments company dedicated to helping its clients manage and service their financial assets throughout the...

    16 hours ago from BNY Mellon
     
  • Personal Banker 2, 3 or 4 FT (40 hours) - Atlanta - Cascade 

    NEW

    SunTrust Banks

     - Atlanta, GA

    Personal Banker 2, 3 or 4 FT (40 hours) - Atlanta - Cascade-W408154 Description Our Branch Banking Teammates are often the first to meet new clients and the ones who start them on...

    18 hours ago from SunTrust
     
  • Personal Banker 2, 3 or 4 FT (40 hours) - Gainesville - EE Butler 

    NEW

    SunTrust Banks

     - Gainesville, GA

    Personal Banker 2, 3 or 4 FT (40 hours) - Gainesville - EE Butler-W408380 Description Our Branch Banking Teammates are often the first to meet new clients and the ones who start...

    18 hours ago from SunTrust
     
  • Personal Banker 2, 3 or 4 Fort Lauderdale - Las Olas 

    NEW

    SunTrust Banks

     - Fort Lauderdale, FL

    Personal Banker 2, 3 or 4 Fort Lauderdale - Las Olas-W407458 Description Our Branch Banking Teammates are often the first to meet new clients and the ones who start them on the...

    18 hours ago from SunTrust
     
  • Personal Banker 2, 3 or 4 FT (40 Hours) Bluffton, SC - Westbury Branch 

    NEW

    SunTrust Banks

     - Hilton Head, SC

    Personal Banker 2, 3 or 4 FT (40 Hours) Bluffton, SC - Westbury Branch-W408274 Description Our Branch Banking Teammates are often the first to meet new clients and the ones who...

    18 hours ago from SunTrust
  • Compliance Analyst 

    NEW

    AIG Financial Advisors

     - Oakdale, MN

    industry experience, Compliance or Branch Exams experience preferred. • FINRA series ... to Members,Compliance notices and other publications concerning broker/dealer...

    4 hours ago from BrokerHunter.com
     
  • Compliance Analyst 

    NEW

    American International Group

     - Atlanta, GA

    industry experience, Compliance or Branch Exams experience preferred. • FINRA series ... to Members,Compliance notices and other publications concerning broker/dealer...

    10 hours ago from American International Group
     
  • Compliance Analyst

    Kforce Inc.

     - Newark, DE

    case workers will determine appropriate FINRA product and problem codes as per FINRA ... directly, either oral or written with Broker/DealerCompliance Advisory, Licensing...

    4 days ago from Kforce Finance & Accounting
     
  • Compliance Analyst

    John Hancock

     - Boston, MA

    The Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... business activity (OBA) information for broker dealer registered persons including...

    8 days ago from John Hancock
  • Compliance Examiner, Member Regulation 

    NEW

    Independent Securities Regulator

     - Atlanta, GA

    for regulatory cause, and activities of broker-dealer personnel to assess fair ... comprehensive written and verbal reports to broker-dealer executives and FINRA...

    18 hours ago from IvyExec
     
  • Compliance Examiner, Member Regulation 

    NEW

    Finra

     - Boca Raton, FL

    reports to broker-dealer executives and FINRA management, including information ... to interact with broker-dealer and FINRA senior managers. The information...

    3 days ago from Disabled Persons
     
  • Compliance Examiner, Member Regulation

    Finra

     - Boca Raton, FL

    for regulatory cause, and activities of broker-dealer personnel to assess fair ... comprehensive written and verbal reports to broker-dealer executives and FINRA...

    5 days ago from FINRA
  • Compliance Director

    John Hancock

     - Boston, MA

    operation of the Wholesale Broker Dealer Compliance Department supporting the ... broker dealers and the Wholesale Broker Dealer Compliance Department. * As...

    8 days ago from John Hancock
     
  • Compliance Director

    Leading Insurance and Financial Services Company

     - Boston, MA

    Education/Experience: Minimum of 6-8 years of sales literature compliance review Comprehen ... literature securities regulation (broker dealer primarily and investment...

    9 days ago from IvyExec
     
  • Compliance Director

    Leading Financial Services Firm

     - Philadelphia, PA

    operational areas to ensure compliance with FINRA and SEC rules and regulations. Directly ... Directly related experience in accounting, broker-dealer risk management, regulatory...

    17 days ago from IvyExec
  • Chief Compliance Officer 

    NEW

    Bliss Lawyers

     - New York City, NY

    is seeking a permanent, full-time Chief Compliance Officer to work for an alternative ... have a strong background in both broker-dealer and investment advisor regulatory...

    1 day ago from ZipRecruiter
     
  • Chief Compliance Officer

    California Broker Dealer

     - Central, CA

    POSITION: A full-service, California broker dealer is seeking a qualified candidate to ... FINRA registeredBroker/Dealer. • A solid understanding of SEC, MSRB, and FINRA...

    5 days ago from ZipRecruiter
     
  • Chief Compliance Officer

    E-trade Financial

     - Jersey City, NJ

    functions for ETFC's two registered broker-dealers, registered investment adviser ... the registrations of ETFC's registered broker-dealers, registered investment adviser...

    10 days ago from Global Risk Jobs
     
  • Chief Compliance Officer

    Bliss Lawyers

     - New York, NY

    is seeking a permanent, full-time Chief Compliance Officer to work for an alternative ... have a strong background in both broker-dealer and investment advisor regulatory...

    18 days ago from Minority Corporate Counsel Association
     
  • Enforcement Counsel

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    legal experience in a regulatory or legal environment with current working ... the employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...

    4 days ago from Just Jobs
     
  • Enforcement Counsel

    Intercontinental Exchange

     - New York, NY

    independent, Enforcement Counsel will have responsibility for investigating, ... in-house litigators at broker-dealers/investment advisers; and member of both the...

    19 days ago from Intercontinental Exchange, Inc.
     
  • Assistant General Counsel

    Leading Trading, Investing, and Banking Firm

     - Alpharetta, GA

    available to ETCS Provide practical legal counsel and develop creative solutions to ... experience Experience withbroker dealer regulatory environment preferred...

    19 days ago from IvyExec
  • Managing Counsel

    BNY Mellon

     - New York City, NY

    (iii) advising on business, regulatory and legal developments with respect to these ... trade finance or mutual fund or broker dealer lending experience Cross-border...

    19 days ago from BNY Mellon