EMPLOYMENT TUESDAY at BrokeAndBroker.com
April 7, 2015
Financial Advisor
NEWKeybank
- Ann Arbor, MIABOUT 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 investment...
Financial Advisor
NEWBMO Harris Bank
- Orland Park, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services...
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
First Command Financial Services
- Huntsville, ALFirst 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
First Command Financial Services
- Hagåtña, 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
NASA Federal Credit Union
- Upper Marlboro, MDReturning Candidate? Log back in! Financial Advisor All times are in Coordinated Universal Time. Job ID 2098 Location US-MD-Upper Marlboro Experience (Years) .. Posted Date...
Financial Advisor
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...
Financial Advisor
Italent Consulting Group
- Addison, TXFinancial Representative Responsibilities Do these words describe you...Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The...
Financial Advisor
Cybercoders
- Milwaukee, WIFinancial Advisor Are you tired of being the tiny fish in a big pond of investment advisors? We are a thriving, mid-size Financial Services firm with offices throughout the...
Financial Advisor
AIG Financial Advisors
- Fresno, CAPosition 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
Northern Financial Services
- Watertown, NYExciting Opportunity Available!A progressive, fastpaced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment...
Financial Advisor
Multinational Spanish Banking Group
- Turlock, CAResponsibilities Provide financial advice and counseling to customers and prospects through the sale of mutual funds, government, municipal and corporate bonds, fixed and variable...
Financial Advisor
Major Mutual Fund Investment Management Company
- Valley Forge, PAYour Primary Duties and Responsibilities: Develop a thorough understanding of each clients financial situation in order to create and deliver a suitable strategy based upon...
Financial Advisor
Keybank
- Wenatchee, WA**ABOUT 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...
Financial Advisor
BB&T
- Greenville, SCAuto req ID 32667BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Greenville, SC - 40 West Broad Street Language Fluency English...
Financial Advisor
American International Group
- Cleveland, OHWhy 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...
Financial Advisor
AIG Financial Advisors
- Batesville, INPosition 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
AIG
- Indianapolis, INWhy 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...
Financial Advisor
USAA
- San Antonio, TXWe are currently seeking talented Licensed Financial Advisor for San Antonio call center. The start date for this position is May 11th, 2015 . Candidates hired prior to May 11th,...
Financial Advisor
Bank of the West
- Aurora, COWhat sets Bank of the West apart from other banks is our team members-they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of...
Financial Advisor
San Diego County Credit Union
- San Diego, CAFinancial AdvisorShift Type: Full Time (40) Location: Admin. Office Description: Responsible for offering, selling and servicing suitable investment and insurance products to San...
Financial Planner
AXA Advisors
- Williamsville, NYDo you have what it takes to make 6 figures? Rewarding opportunities are available for achievement-driven individuals with an "entrepreneurial" spirit to build a thriving...
Financial Advisor
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...
Financial Services Asset Management
AXA Advisors
- New York***PLEASE ONLY SEND RESUME IF YOU ARE A RECENT COLLEGE GRADUATE OR HAVE LESS THAN 2 YEARS WORK EXPERIENCE*** We are looking only for recent college graduates to join the youngest...
Financial Services Asset Management
AXA Advisors
- New York City, NY***PLEASE ONLY SEND RESUME IF YOU ARE A RECENT COLLEGE GRADUATE OR HAVE LESS THAN 2 YEARS WORK EXPERIENCE***Â We are looking only for recent college graduates to join the youngest...
Branch Operations Manager
AXA Advisors
- WisconsinCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
Lead Associate - Branch Controls
AXA Advisors
- WisconsinCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
FINANCIAL PROFESSIONAL - WI, MILWAUKEE (2634)
AXA Advisors
- Milwaukee, WICompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - WA, BELLEVUE (2627)
AXA Advisors
- Bellevue, WACompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
Branch Controls (Compliance) Specialist (Falls Church)
AXA Advisors
- VirginiaCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
FINANCIAL PROFESSIONAL - VA, NORFOLK (3244)
AXA Advisors
- Norfolk, VACompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - VA, ROANOKE (3103)
AXA Advisors
- Roanoke, VACompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - VA, RICHMOND (2624)
AXA Advisors
- Richmond, VACompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - UT, SALT LAKE CITY (2615)
AXA Advisors
- Salt Lake City, UTCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
Senior Manager, Branch Controls / Compliance
AXA Advisors
- TexasCompany Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...
FINANCIAL PROFESSIONAL - TX, AUSTIN (2590A)
AXA Advisors
- Austin, TXCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - TX, FORT WORTH (2602A)
AXA Advisors
- Fort Worth, TXCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - TX, BROWNSVILLE (2682)
AXA Advisors
- Brownsville, TXCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - TX, THE WOODLANDS (2609A)
AXA Advisors
- The Woodlands, TXCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - TX, DALLAS (2593)
AXA Advisors
- Dallas, TXCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - TX, SAN ANTONIO (2681)
AXA Advisors
- San Antonio, TXCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - TX, KATY (2603A)
AXA Advisors
- Houston, TXCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - TX, HOUSTON (2603)
AXA Advisors
- Houston, TXCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - TN, FRANKLIN (2584)
AXA Advisors
- Franklin, TNCompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - PA, BALA CYNWYD (2559)
AXA Advisors
- Bala Cynwyd, PACompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
FINANCIAL PROFESSIONAL - PA, BALA CYNWYD (2556)
AXA Advisors
- Bala Cynwyd, PACompany Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...
Anticipated Private Client Advisor - Chase Wealth Management - Rolling Hills Estates
NEWJPMorgan Chase
- Long Beach, CAFinancial 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...
Investment Assistant - Emerging High Net Worth - Series 7 & 63 Required
NEWJPMorgan Chase
- Chicago, ILThe 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...
Trade Support Specialist
JPMorgan Chase
- Newark, DEBusiness Background The Global Fixed Income Securities Cash Middle Office is primarily responsible for the trade management and control of both the standard and non standard...
Chase Private Client - Private Client Advisor - Southwest Houston, Texas Area
JPMorgan Chase
- Sugar Land, TXBusiness 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...
Chase Wealth Management - Financial Advisor - Mansfield, TX (Debbie and Matlock)
JPMorgan Chase
- Mansfield, 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...
Legal - Assistant General Counsel - Corporate & Investment Bank, Cash Equities - ED (NYC)
JPMorgan Chase
- New York City, NYJPMorgan 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...
Chase Wealth Management - Financial Advisor - San Antonio, TX (Marbach) Bilingual Spanish Preferred
JPMorgan Chase
- San Antonio, 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...
Anticipated Financial Advisor - Chase Wealth Management
JPMorgan Chase
- Lima, OHFinancial 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 Manager - Chase Wealth Management
JPMorgan Chase
- Cleveland, 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 - Private Bank - Investment Specialist - VP/ED
JPMorgan Chase
- New York City, NYJP Morgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of more than %242 trillion and operations in more than 60 countries. We serve millions of...
Asset Management - GWM Private Bank Client Service Control/Policy Analyst
JPMorgan Chase
- Newark, DEJ.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...
Corporate Compliance - Public Finance Advisory - Executive Director
JPMorgan Chase
- New York City, NYJPMorgan 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...
Anticipated Private Client Advisor - Boca Raton, FL (Polo Club Shoppes)
JPMorgan Chase
- Boca Raton, FLBusiness 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...
Chase Private Client Investment Associate
JPMorgan 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 %242.3 trillion and...
Asset Management - Supervisory Manager Private Bank Client Service and Operations
JPMorgan 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...
Corporate Compliance - Regional Compliance Officer - Vice President
JPMorgan Chase
- Columbus, OHJPMorgan 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...
Anticipated Private Client Advisor - Chase Wealth Management
JPMorgan Chase
- Granada Hills, CAFinancial 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...
CWM- Private Client Consultant - Team Lead
JPMorgan Chase
- Westerville, OHAs a Private Client Consultant, you will partner closely with other employees across the firm, throughout our different lines of business, to help create great experiences for...
Corporate Compliance - Trusts and Estates, Global Wealth Management - Executive Director
JPMorgan Chase
- New York City, NYJPMorgan 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...
Asset Management - Global Wealth Management - Private Bank EHNW Group
JPMorgan Chase
- Houston, TXJ.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...
In-Store Personal Banker - Oro Valley Fry's
JPMorgan Chase
- Oro Valley, AZPlay 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...
Chase Private Client - Private Client Advisor- Germantown, WI (Germantown)
JPMorgan Chase
- Germantown, WIBusiness 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 $2.3...
Anticipated Private Client Advisor - Chase Wealth Management
JPMorgan Chase
- Franklin, 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...
Investment Support Associate - Broker Service Center - FINRA Series 7 Required
JPMorgan Chase
- San Antonio, TX* * *Chase Investment Services - Investment Support Associate I * The Investment service centers have a strong reputation of superb customer service. We are a disciplined group...
Asset Management - Private Bank Service Manager, VP
JPMorgan Chase
- Houston, TXA Private Banking Client Service Manager (SM) is responsible for all of the activities of his/her team of approximately 10-20 Client Service Associates (CSAs). Each Service...
Managing Sales Director II
MetLife
- CaliforniaJob Location Brea, CA Job Description Managing Sales Director II SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director II is to advance the Financial...
Recruiting Coordinator
MetLife
- MassachusettsJob Location Wakefield, MA Job Description Provide ongoing support to firm management in achieving recruiting objectives. Participate in activities and events to assist in...
Assistant Operations Manager (Financial Services Sales Office)
MetLife
- MarylandJob Location Elkridge, MD Job Description Job Summary: Provides administrative support to an insurance and financial services sales agency. Functional Responsibilities: - Provides...
Senior Financial Planning Coordinator
MetLife
- New JerseyJob Location Somerset, NJ or Boston, MA Job Description Job Summary: The Financial Planning Coordinator serves as the first line of contact for all incoming inquires to the...
Director Digital and Marketing Communications
MetLife
- North CarolinaJob Location Charlotte, NC Job Description Summary of Responsibilities: The Director - Digital and Marketing Communications: Manages a team of individuals responsible for all...
Experienced Financial Services Representative
MetLife
- PennsylvaniaDescription Financial Services Representatives (FSRs) are responsible for the marketing, sale and service of MetLife products that meet the needs of clients. Establish a financial...
Financial Services Representative MetLife Resources
MetLife
- OklahomaDescription Every so often it's worth taking the time to evaluate information on new opportunities. That time has arrived. At MetLife Resources, a division of the Metropolitan...
Financial Services Representative
MetLife
- New JerseyDescription Summary of Responsibilities: Financial Services Representatives (FSRs) are responsible for the marketing, sale and service of MetLife products that meet the needs of...
Financial Services Team Associate
MetLife
- New JerseyDescription This job can become a career and lead an individual to a life of significance, where the individual will positively impact peoples' lives. We at MetLife believe this...
Regional Director
MetLife
- MichiganJob Location Detroit , MI Work from Home Virtual Location Yes Job Description The Regional Director (RD) will be responsible for sales management within an assigned region for...
Investment Specialist
MetLife
- WashingtonJob Location Bellevue, WA Job Description SUMMARY OF RESPONSIBILITIES The Investment Specialist has primary responsibility for growing the securities production of the firm. The...
Compliance Officer
Global 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
Interactive Brokers
- Greenwich, CTcommission merchant, as well as a member of FINRA and the NFA. Our legal and compliance ... The ComplianceOfficer position requires familiarity with SEC, FINRA, CFTC and NFA rules a...
Compliance Analyst
Jackson National Life Insurance Company
- Appleton, WIa Compliance Analyst. SII is a full-service broker/dealer serving independent financial ... (NPH) network of independent broker/dealers, SII is affiliated with Jackson National Life...
Compliance Analyst
Dimensional Fund Advisors
- Austin, TXCompliance Analyst will assist the firm's compliance officers in the evaluation, ... environment at a mutual fund company or broker-dealer preferred * Bachelor's degree...
Compliance Officer Market Surveillance
Citi
- Jersey City, NJMarket Surveillance provides independent compliance coverage for the Equities, Fixed ... experience in capital markets or securities compliance. The candidate should have strong...
Senior Compliance Officer Equities (Multi Asset Group)
Citi
- New York City, NYdocuments and processes to ensure compliance with regulatory requirements and ... guidance and administering the Firm's Compliance policies/procedures in a timely...
Assistant Compliance Officer
Purshe Kaplan Sterling Investments
- Albany, NYNY, is seeking an Assistant Compliance Officer in its Albany, NY office. Candidates ... resume to Lisa M. Evans, Chief Compliance Officer at Purshe Kaplan Sterling...
Investment Banking Compliance Officer-VP
Compliance Search Group
- New York City, NY• Provide regulatory/compliance training ... bank seeks a Corporate Banking & Securities, Compliance Officer who will be...
Chief Compliance Officer (CCO)
Compliance Search Group
- New York City, NYChief Compliance Officer (CCO) A Global Advisory firm seeks a Chief Compliance Officer ... maintain and enforce adequate compliance policies and procedures. • Provide compliance...
Compliance Officer Fixed Income (Credit Markets)
Citi
- New York City, NYThe position is for a Fixed Income Compliance Officer within Citi's ... approvals and interpretation of internalcompliance policies; * Draft compliance...
Sr. Compliance Officer to CCO - Investment Management
Compliance Search Group
- New York City, NYSr. Compliance Officer to CCO - Investment Management (ETF & Mutual Fund Background ... fund suites. They are looking for a Senior Compliance Officer who would grow into a CCO...
PNCI - Regional Supervisory Officer
PNC
- Louisville, KYREGIONAL SUPERVISORY OFFICER The PNC Investments Regional Supervisory Officer (RSO) will ... REQUIREMENTS: FINRA Series 7 and 66 or (63 & 65) licenses, also FINRA Series 8 or (9 & 10)...
Compliance Officer Markets LATAM
Citi
- Fort Lauderdale, FLDescription The Market Compliance Officer is responsible for the implementation of the ... The MarketCompliance Officer makes recommendations on the development of compliance polic...
Banking and Securities Compliance Officer
Michael Page International - US
- Manhattan, NYand applicable securities laws and FINRA regulations Identify regulatory trends ... relevant policies and procedures Provide compliance training Implement and document...
Marketing Review Compliance Officer
Michael Page International - US
- New York City, NYOfficer Review marketing materials to ensure compliance with relevant regulatory ... Bonus Potential Marketing Review Compliance Officer needed for Top Tier Alternative...
Senior Compliance Officer
NEWLeading Financial Services Firm
- Stamford, CTResponsibilities for Senior Compliance Officer: · Provide compliance support for equity ... regulation Qualifications for Senior Compliance Officer: · Minimum 5 years of experience...
Credit, Risk Management and Compliance
Truebridge Resourses
- San Francisco, CAof credit, risk management andor regulatory compliance. Hybrid profiles are preferred ... as the Chief RiskOfficer, Chief Compliance Officer, Internal audit or Regulatory...
Compliance Officer // AML
NEWLeading Financial Services Firm
- Omaha, NEhe Anti-money laundering function within the Compliance Department is responsible for ... Strong Leadership skills Familiarity with FINRA and SEC rules and legal cases governing...
Associate Compliance Officer| VP of Operations| AML Officer
NEWLucia Capital Group
- San Diego, CAseeking an experienced Associate Compliance Officer| VP of Operations| AML Officer for ... Job Description: The Associate Compliance Officer| VP of Operations| AML Officer is...
Compliance Officer Capital Markets and Alternative Investments |
Compliance Search
- New York City, NYinvestments The Candidate will provide compliance support for the Solutions and ... desksA Global bank seeks aCompliance Officer who will be responsible for Capital...
Regulatory Compliance Manager
NEWVelossent
- Atlanta, GAwill work directly with the Chief Compliance Officer (CCO) and Financial Operations ... institutions in compliancewith SEC, FINRA, AML and related regulations is...
Broker / Dealer Compliance Officer
Compliance Search Group
- Los Angeles, CABroker/ Dealer Compliance Officer A privately-owned investment advisory firm that focuses ... complianceprofessional for the role of Compliance Officer. The Compliance Officer...
Compliance Officer
Craig Scott Capital
- Uniondale, NYJob Description: Regulatory Compliance Officer Generalist with strong compliance ... Comprehensive understanding of SEC/FINRA Rules and Regulations...
Compliance Officer
Global 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,...
Expert Practitioner-Credit, Risk Management, and Compliance
Truebridge Resources
- San Francisco, CAas the Chief Risk Officer, Chief Compliance Officer, Internal audit or Regulatory ... credit risk, risk management, and regulatory compliance.
Compliance Officer II
Bank of the West
- San Ramon, CA* Liaise with Group and/or Division Compliance and Corporate Compliance * Monitors major a ... **Job:** **Compliance** **Title:** **Compliance Officer II** **Location:**...
Compliance Officer
NEWLeading Financial Services Firm
- Manhattan, NYConduct reviews to assess compliance and operational risks, develop associated controls ... reviewing advertising material for compliance with FINRA regulations Knowledge...
Senior Compliance Officer- Investment Banking & Research
Human Resources Focused Consulting Firm
- New York City, NYresponsibility of the IB and Research Compliance Officer is to provide primary compliance ... Conduct compliancetesting per FINRA regulations Provide Compliance Chaperone coverage...
Compliance Officer- Market Surveillance
Major International Bank
- Jersey City, NJMarket Surveillance provides independent compliance coverage for the Equities, Fixed ... experience in capital markets or securities compliance. The candidate should have strong...
Enforcement Counsel
Finra
- Rockville, MDindividual for our Enforcement Counsel opening in Rockville, MD . To be ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...
Assoc General Counsel
Tiaa-cref | Financial Services®
- Charlotte, NCto the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). Provide legal...
Assoc General Counsel
Tiaa-cref
- Charlotte, NCto the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). Provide legal...
Assoc General Counsel
Tiaa-cref
- New Yorkto the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). · Provide legal...
Managing Counsel
BNY Mellon
- New York City, NYtrade finance or mutual fund or broker dealer lending experience Cross-border transactional experience Excellent analytical and problem-solving skills Excellent drafting and...
Managing Counsel
NEWToyota Financial Services
- Torrance, CAManaging Counsel in advising with respect to broker-dealer legal issues. * Design and ... groups, including: *Dealer Lending, Dealer Products and Commercial Finance o...
Vice President, Senior Counsel
NEWNew York City, NYlitigation risks, and managing outside counsel as appropriate. This attorney will be a ... and outside counsel as necessary in support of all of the Firm's functions.
Legal Counsel
NEWBroadridge
- Denver, COThe Legal Counsel will report directly to the Senior Legal Counsel, and will support the ... and affiliates, includingbroker dealer, SSAE16 audits and AML audits. • Research...
Paralegal-Administration & Operations Associate Legal and Compliance
NEWMla Global
- New York City, NYacademic credentials. Experience at broker-dealer, trading or asset management ... duties including: Assisting the General Counsel and other members of the Legal and...
Paralegal-Administration & Operations Associate Legal and Compliance
NEWMla Global
- New York City, NYacademic credentials. Experience at broker-dealer, trading or asset management ... duties including: Assisting the General Counsel and other members of the Legal and...
Corporate Attorney
NEWCompliance Search International
- Jersey City, NJincluding, but not limited to, equities (broker-dealer, electronic trading, ... clients in contractual matters, including broker-dealer issues and regulatory...
Managing Counsel
NEWToyota
- Los Angeles, CAmatters. • Assist Managing Counsel in advising with respect to broker-dealer ... groups, including: • DealerLending, Dealer Products and Commercial Finance o Advise...
Vice President & Chief Counsel Data Initiatives
NEWNewark, NJlaws governing variable and fixed products, broker-dealers, and investment advisory ... This senior attorney will provide counsel and advice to various internal...
Corporate Attorney
Global Firm Providing Access To Capital Markets To Buy- and Sell-side Firms, and Corporations
- Jersey City, NJin contractual matters, including broker-dealer issues and regulatory implications. ... including the ability to provide counsel on the formulation of policy; strong...
Legal - Assistant General Counsel - Corporate & Investment Bank, Cash Equities - ED (NYC)
JPMorgan Chase
- New York City, NYequity research, sales and trading, broker-dealer regulatory requirements, SEC and SRO ... institution advising onbroker-dealer regulatory issues, cash equity trading issues...
Associate General Counsel (Securities Litigation and Enforcement, Washington, D.C.)
Interactive Brokers
- Washington, DCwith experience in securities and broker-dealer issues to become a litigation-focused ... counsel) Coordinating with outside counsel on court actions involving the firm...
Director Audit Institutional (104153)
TD Ameritrade
- Fort Worth, TXB/D related) * Extensive knowledge of broker/dealer business models; regulatory requirements; and key processes, controls and exposure areas. Specific knowledge of independent...
Securities Attorney (Part Time or Of Counsel) (CLS 1128)
Chicago Legal Search
- Chicago, ILis seeking a part-time (500-700 hours) or Of Counsel Illinois bar admitted attorney with a ... D/Blue Sky, Investment Advisor Act and broker dealer matters, to join their...
Counsel (Contractor) Options Regulation - Market Regulation
Finra
- Chicago, ILof the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, ... and to authorize theirbroker-dealers to provide FINRA with duplicate statements...
Corporate Contracts Counsel
Mla Global
- New York City, NYCorporate Contracts Counsel New York, NY An established and growing proprietary trading ... trading industry and contracts common to broker/dealer operations. In-house experience...
Vice President Associate Counsel (Advisory)
Compliance Search International
- Charlotte, NCincluding senior attorneys, Deputy General Counsel and General Counsel, with the ... issues affecting the company as RIA and broker-dealer Implementation of new and...
In-House Derivatves Counsel
Amato Legal Search
- New York City, NYseeks a 4-10 year "buy side" Derivatives Counsel (AVP or VP title depending on seniority) ... merchants and prime brokers. Will counsel portfolio managers and traders regarding...
Senior Counsel- Dispute Advisory Group
Major International Bank
- O'fallon, MOThe Case Attorney position supports all aspects of the retail broker dealer/RIA and insurance agency businesss pre-litigation disputes. The position is responsible for the review,...
Assistant General Counsel- Dispute Advisory Group Manager
Major International Bank
- O'fallon, MOall aspects of the handling of retail broker-dealer/RIA and insurance agency ... to those managing regulatory exams of the broker-dealer and insurance agency, oversee...
Counsel (Contractor) Options Regulation - Market Regulation - Chicago
Financial Industry Regulatory Authority (finra)
- Riverdale, ILof the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, ... employee) and to authorize their broker-dealers to provide FINRA with duplicate...
Sr. Associate Counsel/Counsel
Voya Financial
- Minneapolis, MNthe internal and external litigation counsel in support of on-going lawsuits; engage ... to variable universal life and associated broker-dealer issues helpful but not...
Assoc General Counsel
Tiaa-cref | Financial Services®
- Charlotte, NCto the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). Provide legal...
Assoc General Counsel
Tiaa-cref
- Charlotte, NCto the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). Provide legal...
Sr Legal Counsel - Investment Advisory & Broker-Dealer
Kansas City, MOdepartment, this attorney will educate, counsel, and advocate for our business ... in connection with investment-advisory, broker-dealer, and bank-securities matters.