EMPLOYMENT TUESDAY at BrokeAndBroker.com
March 10, 2015
Financial Advisor
NEWAIG Financial Advisors
- Columbia, SCPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
NEWMwws
- Hazelwood, MOJob Description: Financial Advisor Work Location: Hazelwood, Missouri, United States We are seeking an uncommon professional to join our team as a Financial Advisor. Job...
Financial Advisor
NEWAmerican International Group
- Columbia, SCPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
NEWThrivent Financial
- Rockville, MDCompany Description: Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities...
Financial Advisor
NEWAXA Advisors
- Cheektowaga, NYCompany Description: AXA Advisors, LLC is one of the largest financial firms in the U.S. looking for highly motivated, results-oriented individuals who are interested in...
Financial Advisor
NEWFinancial Planning Services
- Boise, IDJob 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
AXA Advisors
- Buffalo, NYCompany Description: AXA Advisors, LLC is one of the largest financial firms in the U.S. looking for highly motivated, results-oriented individuals who are interested in...
Financial Advisor
Seacoastbank
- Orlando, FLCompany Description: Headquartered in Martin County, FL, Seacoast Bank, a $3.0 billion Institution, is unrivaled among community banks and state wide regional banks alike!...
Financial Advisor
Wamhoff Financial Planning
- St. Charles, MOJob Description: Looking for a financial advisor interested in a career with growth potential and sales success! If you're motivated and looking to succeed, join a firm that...
Financial Advisor
New York Life
- Barnstable, MACompany Description: Insurance and Financial Services Job Description: Financial Adviser / Registered Representative / Agent Career Description: Financial Professionals help...
Financial Advisor
Peoples Bancorp
- Beachwood, OHA full service financial advisor who: actively searches for new clients both within and outside of the Bank's current customer base, meets with prospective clients and recommends...
Financial Advisor
Ninjob | Employment Marketing
- Atlanta, GAFinancial Advisor WealthSpan is an independent insurance, investment and financial services firm that specializes in offering comprehensive financial planning and wealth...
Financial Advisor
Thrivent Financial
- Lancaster, PACompany 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...
Financial Advisor
Williams Asset Management
- Columbia, MDCompany Description: Founded in 1994, Williams Asset Management is an award-winning, privately-owned investment advisory services and wealth management firm, located in Columbia,...
Financial Advisor
Wamhoff Financial Planning
- St. Charles, MOJob Description: Looking for a financial advisor interested in a career with growth potential and sales success! If youre motivated and looking to succeed, join a firm that offers...
Financial Advisor
First Command Financial Services
- Hagatna, GUFirst Command Financial Services is committed to helping military families get their financial lives squared away and pursue their goals and dreams through coaching and guidance...
Financial Advisor
Securian Financial Group
- San Mateo, CAFinancial Advisor Professionals Serving Professionals in a Thriving Industry True professionals have always sought like-minded individuals to serve their needs You have an...
Financial Advisor
Cornerstone Financial Group
- Seattle, WAJob 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...
Financial Advisor
Impacte
- Chicago, ILJob Description: What if your next career could change lives? What if you could succeed by helping others succeed? As a financial advisor, you'll have the opportunity to turn...
Financial Advisor
Watertown, NYFinancial AdvisorThe Financial Advisor is responsible for developing and building relationships with new and existing clients through building a strong referral network and by...
Financial Advisor
MFP Strategies
- Bethlehem, PAPosition Description: Financial Advisor will provide clients with comprehensive financial advisory and wealth management services. Primary responsibilities include evaluating...
Financial Advisor
PNC
- Franklin, PAAs 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...
Financial Advisor
Peoples Bancorp
- Wellston, OHA full service financial advisor who: actively searches for new clients both within and outside of the Bank's current customer base, meets with prospective clients and recommends...
Financial Advisor
Rehmann
- Boca Raton, FLRehmann Financial, a member of Rehmann, is a wealth management firm offering integrated advice in all areas of our clients' financial lives. Because most life goals have a...
Financial Advisor
Geary Kornelik & Associates
- Chicago, ILCompany Description: About Geary Kornelik & Associates Geary Kornelik & Associates is a search and placement firm based here in Chicago that truly is "By bankers, for bankers".
Branch Manager
NEWKeybank
- Cincinnati, OHABOUT KEY: Cleveland-based KeyCorp is one of the nation's largest bank-based financial services companies, with assets of approximately $92.9 billion. Key companies provide...
Branch Manager
NEWAmeriprise Financial
- Lake Zurich, ILJob DescriptionDrive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable...
Branch Manager
NEWAmeriprise Financial
- San Francisco, CAJob DescriptionDrive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable...
Branch Manager
NEWM&t Bank
- Hamburg, NYRetail Banking Division: Full Time Branch Manager 40 Hours Per Week Camp Road Branch Hamburg, New York Basic Function The Branch Manager is responsible for overall profitability...
Branch Manager
NEWBuffalo, NYDESCRIPTION/RESPONSIBILITIES:Retail Banking Division: Full Time Branch Managers40 Hours Per WeekTops Niagara BranchBuffalo, New YorkBasic FunctionThe Branch Manager is responsible...
Branch Manager
Keybank
- Kerhonkson, NYABOUT KEY: Cleveland-based KeyCorp is one of the nation's largest bank-based financial services companies, with assets of approximately $92.9 billion. Key companies provide...
Branch Manager
M&T Bank
- Easton, MDJob Posting: Jan 20, 2015, 3:07:19 PM Unposting Date: Ongoing Retail Banking Division Branch Manager Glebe Road Branch Easton, MD Basic Function The Branch Manager is responsible...
Portfolio Consultant - Schwab Private Client, Orlando(1215-21221)
NEWCharles Schwab Corporation
- Orlando, FLWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Centralized Supervision Manager - Quality Assurance(1107-20613)
NEWCharles Schwab Corporation
- Denver, COWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Margins Operations Representative(0903-19444)
NEWCharles Schwab Corporation
- Lone Tree, COWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Managed and Advised Account Operations Specialist(0309-22298)
NEWCharles Schwab Corporation
- Orlando, FLWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
VP, Financial Consultant - Southlake, TX(20150303-686)
NEWCharles Schwab Corporation
- Southlake, TXWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Client Service Specialist - Galleria(20150220-532)
NEWCharles Schwab Corporation
- Houston, TXWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Senior Manager, Supervisory Risk and Controls(1107-20598)
NEWCharles Schwab Corporation
- Denver, COWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Financial Consultant Assistant - Oklahoma City, OK or Tulsa, OK(0929-19866)
NEWCharles Schwab Corporation
- Tulsa, OKWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Sr. Operations Specialist, Access & Entitlements Integration Team(20150219-525)
NEWCharles Schwab Corporation
- Orlando, FLWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Vice President, Financial Consultant - Dallas(20150123-190)
NEWCharles Schwab Corporation
- Dallas, TXWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Vice President, Financial Consultant - Kenilworth, IL(20150303-683)
NEWCharles Schwab Corporation
- Kenilworth, ILWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Vice President, Financial Consultant - Greensboro, NC(20150303-685)
NEWCharles Schwab Corporation
- Greensboro, NCWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Sr. Operations Specialist, Access & Entitlements Integration Team(20150219-524)
NEWCharles Schwab Corporation
- Denver, COWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Licensed New Accounts Associate(0116-21519)
NEWCharles Schwab Corporation
- Orlando, FLWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Cashiering Team Manager(20150227-636)
NEWCharles Schwab Corporation
- Orlando, FLWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Financial Consultant Assistant - West Hartford, CT(0305-22252)
Charles Schwab Corporation
- West Hartford, CTWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Vice President, Financial Consultant - Chicago (Wacker Drive)(20150228-648)
Charles Schwab Corporation
- Chicago, ILWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Vice President, Branch Manager - Philadelphia, PA(20150210-372)
Charles Schwab Corporation
- Philadelphia, PAWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Vice President, Financial Consultant - Cupertino, CA(20150129-252)
Charles Schwab Corporation
- Cupertino, CAWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Managing Director, Client Service and Support(20150210-378)
Charles Schwab Corporation
- Phoenix, AZWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Conversion Consultant(20150213-466)
Charles Schwab Corporation
- Orlando, FLWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Manager - AML/OFAC Monitoring Strategy Team(1212-21212)
Charles Schwab Corporation
- Phoenix, AZWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Director AML Compliance/Deputy AML Compliance Officer(0902-19422)
Charles Schwab Corporation
- Lone Tree, COWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Director AML Compliance/Deputy AML Compliance Officer(0902-19421)
Charles Schwab Corporation
- Phoenix, AZWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Vice President. Financial Consultant - Santa Barbara, CA(0910-19578)
Charles Schwab Corporation
- Santa Barbara, CAWe believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.
Private Client Advisor - Chase Wealth Management - Spring, Texas Area
NEWJPMorgan Chase
- Spring, TXFinancial 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...
Supervisory Officer - Chase Wealth Mgmt - Supervision and Sales Mgmt
NEWJPMorgan Chase
- Columbus, OHChase 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...
Asset Management, Client Service Associate, Emerging High Net Worth, Series 7 & 63 Required
NEWJPMorgan Chase
- Chicago, ILJ.P. Morgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net...
Chase Private Client - Private Client Advisor
NEWJPMorgan Chase
- Deer Park, NYBusiness 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...
Asset Management - Private Bank - Investment Specialist - VP - Emerging High Net Worth
NEWJPMorgan Chase
- New York City, NYJ.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
Asset Management - Private Bank - Market Manager - Emerging High Net Worth - Dallas or Houston
NEWJPMorgan Chase
- Dallas, TXJ.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
Asset Management, Client Service Associate, Private Banking, Series 7 & 63 Required
NEWJPMorgan Chase
- Chicago, ILJ.P. Morgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net...
Anticipated Financial Advisor - Chase Wealth Management
NEWJPMorgan Chase
- Wheeling, WV* 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...
Anticipated Private Client Advisor - Chase Wealth Management
NEWJPMorgan 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...
Anticipated Financial Advisor - Chase Wealth Management - Milwaukee Metro Area
NEWJPMorgan Chase
- Brookfield, 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...
Private Client Advisor - Chase Wealth Management - Frisco/Plano Area
NEWJPMorgan Chase
- Frisco, 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...
Private Client Advisor - Chase Wealth Management - Fort Worth (Downtown Area)
NEWJPMorgan 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...
Private Client Advisor - Chase Wealth Management - Flower Mound Area
NEWJPMorgan Chase
- Lewisville, 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...
Private Client Advisor - Chase Wealth Management - Katy, Texas Area
NEWJPMorgan Chase
- Katy, 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...
Private Client Advisor - Chase Wealth Management - Arlington, Texas Area
NEWJPMorgan 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...
In-Store Personal Banker - Hancock HEB Branch
NEWJPMorgan Chase
- Austin, TXPlay 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...
In-Store Personal Banker - Round Rock HEB
NEWJPMorgan Chase
- Round Rock, TXPlay 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...
Senior Client Service Associate (601/Associate Level) Private Banking - Series 7&63 -
NEWJPMorgan Chase
- Houston, TX*J.P. Morgan Private Bank*is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net...
Chase Wealth Management - Financial Advisor Associate - Norton, OH (Norton)
NEWJPMorgan Chase
- Norton, OHFinancial Advisor Associate Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...
Supervision Business Manager - Centralized Supervision - Consumer Banking
NEWJPMorgan Chase
- Columbus, OHThe Centralized Supervision Business Manager is responsible for defining Supervision's operational and technology vision; leading projects to provide clear direction in order to...
Asset Management - Private Bank - Investment Specialist - Emerging High Net Worth
NEWJPMorgan Chase
- New York City, NYJ.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
Investment Assistant - Emerging High Net Worth - Series 7 & 63 Required
NEWJPMorgan Chase
- New York City, NYThe Private Client Direct business is a part of JPMorgan's Private Wealth Management business. Private Wealth Management (PWM) is a wealth management business of JPMorgan focused...
AM Investments Business Operations Project Manager, VP
NEWJPMorgan Chase
- New York City, NYJ.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...
Chase Wealth Management - International Financial Services - Senior Financial Consultant (LICENSES & SECOND LANGUAGE FLUENCY REQUIRED Spanish, Portuguese and/or Mandarin/Cantonese)
NEWJPMorgan Chase
- New York City, NYChase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3 trillion and...
Asset Management, Supervisory Manager Team Analyst
NEWJPMorgan Chase
- Newark, DEJPMorgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth individuals and families...
Compliance Officer
NEWGlobal Leader In Investment Management
- Jersey City, NJFurther, subject matter expertise is required for brokerage operations, SEC/FINRA/OCC rule ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...
Compliance Officer
NEWUBS Ag
- Weehawken, NJActivities, Personal Account Dealing, FINRA Outside Business Amendments and the ... system, whilst representing the Employee Compliance function at relevant global...
Compliance Officer
UBS - Finance Industry
- Nashville, TNActivities, Personal Account Dealing, FINRA Outside Business Amendments and the ... system, whilst representing the Employee Compliance function at relevant global...
Compliance Officer
Craig Scott Capital
- Uniondale, NYCompliance Officer Generalist with strong compliance background in retail Brokerage. ... Comprehensive understanding of SEC/FINRA Rules and Regulations...
Compliance Officer
UBS Financial Services
- Weehawken, NJActivities, Personal Account Dealing, FINRA Outside Business Amendments and the ... system, whilst representing the Employee Compliance function at relevant global...
Compliance Officer
UBS - Finance Industry
- Weehawken, NJActivities, Personal Account Dealing, FINRA Outside Business Amendments and the ... system, whilst representing the Employee Compliance function at relevant global...
Compliance Officer
E-trade Financial
- Jersey City, NJthe registrations of ETFC's registered broker-dealers, registered investment adviser ... RESPONSIBILITIES t('12') t('5') The Compliance Officer's responsibilities would...
Compliance Officer
Robert Half Finance & Accounting
- New York, NYbroker-dealer, and its insurance agency. The Compliance Officer will work closely with the ... and registered investment adviser compliance Strong knowledge of FINRA and SEC...
Compliance Examiner, Member Regulation
Independent Securities Regulator
- Atlanta, GAto determine quality, reliability and compliance with requirements. Assesses ... reports to broker-dealer executives and FINRA management, including information...
Compliance Examiner, Member Regulation
Financial Industry Regulatory Authority
- Boca Raton, FLreports to broker-dealer executives and FINRA management, including information ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA...
Compliance Examiner, Member Regulation
Finra
- Boca Raton, FLand trading practices; and supervisory and compliance policies, procedures, internal ... reports to broker-dealer executives and FINRA management, including information...
Senior Counsel
NEWGlobal Leader In Investment Management
- Jersey City, NJis seeking a Senior Counsel for its clearing broker-dealer based in Jersey City, New ... regulatory matters. A broad based broker dealer background is required.
Assistant General Counsel / Lead Attorney
NEWLeading Provider of Insurance, Investments, and Retirement Products
- Saint Petersburg, FLPosition Description: The Assistant General Counsel/Lead Attorney is a recognized company ... issues and security breaches for RIA and broker-dealer ( BD ). Provides legal support...
General Counsel
NEWNew York City, NYand obligations of the Bank, its broker-dealer and insurance subsidiaries; ... counsel to defend the Bank and oversee such counsel handling of such litigation.
Managing Director / Deputy General Counsel
NEWNew York City, NYentities such as banking institutions, broker-dealers or FCMs, exchanges or ... of financial transactions for thousands of broker, dealers, custodian banks and asset...
Counsel - Investment Advisers Act
NEWAmeriprise Financial
- Minneapolis, MNFinancial the largest independent broker-dealer (IBD) in the managed account space. ... reports; - Working with regulators, outside counsel and independent experts from time to...
Director, Enforcement Center
NEWFinra
- New York City, NYduring discussions with outside counsel, in settlement negotiations, and ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...
Sr. Managing Counsel Job
NEWBNY Mellon
- Jersey City, NJscenes to power transformational change for broker-dealers, registered investment ... services and specific experience with a broker-dealer, registered investment advisor,...
Attorney 3-Institutional Trust and Custody
NEWUS Bank
- St Paul, MNMinnesota and reports to IT&C's chief counsel. IT&C provides investment management, asset ... reinsurers, banks, trust companies, broker-dealers, futures commission merchants,...
Corporate Associate Attorney--Investment Management
Lsj
- New York City, NYfunds, private funds, investment advisers, broker dealers, insurance companies and other ... our clients, is based on our service as lead counsel on a number of complex financial...
Associate Corporate Counsel
Broadridge Financial Solutions
- Denver, CO(Description) The Legal Counsel will report directly to the Senior Legal Counsel, and will ... and affiliates, including broker dealer, SSAE16 audits and AML audits. • Research...
Associate Corporate Counsel
Broadridge | Forefield
- Denver, CO(Description) The Legal Counsel will report directly to the Senior Legal Counsel, and will ... and affiliates, including broker dealer, SSAE16 audits and AML audits. • Research...
Associate Corporate Counsel
Leading Provider of Investor Communications
- Denver, COThe Legal Counsel will report directly to the Senior Legal Counsel, and will support the M ... and affiliates, including broker dealer, SSAE16 audits and AML audits.
- Corporate Counsel
- New York City, NY
material terms. Manage and supervise outside counsel and legal assistants. Qualifications: ... with a leading law firm, investment bank, broker-dealer or company in the private...
- Enforcement Counsel - Rockville
Financial Industry Regulatory Authority (finra)
- Potomac, MDindividual for our Enforcement Counsel opening in Rockville, MD . Job ... the employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...
Enforcement Counsel
Financial Industry Regulatory Authority (finra)
- New York, NYindividual for our Enforcement Counsel opening in New York, NY . Job ... the employee) and to authorize their broker-dealers to provide FINRA with duplicate...
Legal Counsel Director - Employee Benefit Trust and Custody Services(20150123-161)
Charles Schwab Corporation
- Chicago, ILrelating to registered Broker Dealers. * Experience in the negotiation of investment advisory agreements. * The ability to negotiate trust and custody agreements with Bank...
Director - Legal Counsel(0923-19760)
Charles Schwab Corporation
- Chicago, ILall areas of Schwab's broker-dealer activities including equity and fixed income ... services company that includesbroker-dealer and investment adviser matters, and/or...