Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Work Location: Montpelier, Vermont, United States. We are seeking an uncommon professional to join our team as a Financial Advisor. Job Responsibilities: Serve Your Clients: 1.
Auto req ID 28093BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Reston, VA - 11100 South Lakes Drive Language Fluency English...
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...
**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...
The Financial Advisor provides professional advisory services to Private and Business clients. Prepares and delivers comprehensive financial plans that may include portfolio...
Financial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...
Do these words describe you…Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The Principal Financial Group® is growing and is...
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.
Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services...
A 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...
First 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...
First 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 Representative Responsibilities Do these words describe you...Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The...
Financial 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...
Exciting Opportunity Available!A progressive, fastpaced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment...
Responsibilities Provide financial advice and counseling to customers and prospects through the sale of mutual funds, government, municipal and corporate bonds, fixed and variable...
Your Primary Duties and Responsibilities: Develop a thorough understanding of each clients financial situation in order to create and deliver a suitable strategy based upon...
Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Work Location: Montpelier, Vermont, United States. We are seeking an uncommon professional to join our team as a Financial Advisor. Job Responsibilities: Serve Your Clients: 1.
Auto req ID 28093BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Reston, VA - 11100 South Lakes Drive Language Fluency English...
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...
**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...
The Financial Advisor provides professional advisory services to Private and Business clients. Prepares and delivers comprehensive financial plans that may include portfolio...
Financial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...
Do these words describe you…Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The Principal Financial Group® is growing and is...
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.
Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services...
A 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...
First 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...
First 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 Representative Responsibilities Do these words describe you...Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The...
Financial 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...
Exciting Opportunity Available!A progressive, fastpaced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment...
Responsibilities Provide financial advice and counseling to customers and prospects through the sale of mutual funds, government, municipal and corporate bonds, fixed and variable...
J.P. Morgan Global Wealth Management Investor Position Summary: The Investor combines the technical skills of portfolio managers with the communication and selling skills of...
J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
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...
Chase Wealth Management Market Director Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global...
Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
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...
Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Financial Advisor Associate Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...
Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...
As a Financial Consultant you will be a key member of the Chase Investments team in our mission to create a great client experience and help individuals across all 50 U.S states...
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...
About JP Morgan Chase & Co. JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.2 trillion. The firm is a leader in investment banking,...
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...
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 $2.3...
J.P. Morgan Private Bank Investment Specialist Job Description J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments...
*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...
*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...
Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...
* Financial Advisor * *Business Description:* Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services...
Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...
As 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...
* Financial Advisor Associate * Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...
registered representatives on complex broker-dealer / investment adviser issues, FINRA, ... We are a FINRARegistered Broker/Dealer and SEC Registered Investment Advisor providing in...
Further, subject matter expertise is required for brokerage operations, SEC/FINRA/OCC rule ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...
Brokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures ... NFA, a law firm, an exchange or another broker-dealer or FCM. Member in good standing...
reports to broker-dealer executives and FINRA management, including information ... with opportunities to interact with broker-dealer and FINRA senior managers. To...
of appropriateness. 4. Cross-train with Compliance Surveillance Analysts and ... 3. Familiarity with broker-dealercompliance and supervision systems is...
interactions are in in compliance with FINRA regulations (e.g., orderly customer ... requirements of the BrokerDealer/RIA. AFC will also have responsibility to...
FINRA Series 7, 24, 63/66, 65/66 and 9/10 required ... registrations to supervise broker dealer operations, training, and marketing/advertising. Maintain state securities...
is a leading provider of compliance management solutions for independent broker-dealer fir ... financial responsibilities of a registered broker-dealer. Responsibilities of FINOP: You...
is a leading provider of compliance management solutions for independent broker-dealer fir ... Working knowledge of SEC and/or FINRA regulation desirable...
Group (LFG) strategies, goals and compliance procedures Interview, screen and ... within the marketplace to deepen broker dealer opportunities Partners with Lincoln...
· Ensures that all broker dealer, investment advisor and registered ... work experience · FINRA Series 7 required ·FINRA Series 24 required · FINRA Series...
to address all privacy compliance concerns, requirements and responsibilities · ... and broker-dealer businesses and the drivers of financial and operational strength...
US and/or global industry experience with broker-dealer, investment management, bank prefe ... Specific knowledge of financial services regulations (SEC, FINRA, ESMA, etc.) a plus Willi...
Advisory - responsible for providing compliance coverage to the UBS Investment ... a plus) Relevant experience in another broker-dealer/bank, SRO or law firm Strong...
Supervise semi-annual OATS compliance review. Monitor for new SEC and FINRA ... in broker dealercompliance with a strong knowledge of the equities and options...
environment within a bank or broker dealer supporting Collateral Management ... any Compliance policy including, inter alia, the Group Compliance policy. Knowledge...
Exposure to numerous areas of a broker-dealer's business. Overnight travel ... qualified protected veterans. ©2015 FINRA. All rights reserved. FINRA is a...
employee) and to authorize their broker-dealers to provide FINRA with duplicate ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA...
enforced by FINRA; performs preventive compliance functions. Presents investigative ... employee) and to authorize their broker-dealers to provide FINRA with duplicate...
in another FI and or Broker DealerFCM Compliance, Operations or Regulatory ... Project Manager, RegulatoryCompliance ,Broker Dealer/FCM, MS Project...
assigned to the OSJ Manager for all broker dealer and investment advisory ... Representative's completion andcompliance with the firm's Annual Compliance Meeting...
Investments, Inc., a registered broker-dealer, underwrites and sells investment ... review of international securities and broker-dealer laws and regulations, review...
partnering with Corporate Compliance, assisting during regulatory examinations, ... particularly broker-dealerpolicies and procedures. Bank broker-dealer experience. ...
marketplace, with an emphasis on independent broker-dealers. The position will represent ... annuity wholesaling experience required. FINRA Series 7 and 63 licenses required.
critical information, and to ensure compliance with SEC and FINRA rules and ... Exposure to numerous areas of a broker-dealers business Financial Services,...
critical information, and to ensure compliance with SEC and FINRA rules and ... Exposure to numerous areas of a broker-dealers business Financial Services, Risk...
for regulatory cause, and activities of broker-dealer personnel to assess fair ... reports to broker-dealer executives and FINRA management, including information...
our website.* TIAA-CREF seeks an attorney who will report to the Senior ... entities distributing insurance products (broker dealers, trust company). · Provide legal...
to the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). Provide legal...
Counsel, you will: Position Summary: This attorney will be part of the Corporate ... regulatory matters. Assist Managing Counsel in advising with respect to broker-dealer...
regulatory matters. Assist Managing Counsel in advising with respect to broker-dealer ... groups, including: Dealer Lending, Dealer Products and Commercial Finance o...
Counsel, you will: Position Summary: This attorney will be part of the Corporate ... Counsel in advising with respect to broker-dealer legal issues. * Design and implement...
and negotiate investment advisory, broker-dealer , and other agreements Provide ... reviews for the investment adviser, and broker-dealer and recordkeeper. Assist on...
Investments, Inc., a registered broker-dealer, underwrites and sells investment ... review of international securities and broker-dealer laws and regulations, review...
risks, and strategic initiatives. The Attorney will assist in completing various ... Commodity Pool Operator. Finally, the Attorney will advise on various broker-dealer...
Minimum of 3 years experience in broker-dealer regulatory compliance matters. (Paralegal experience in this field is acceptable, as this role is similar to a corporate paralegal)...
department, including advice on broker-dealer regulations and development of corporate ... culture Research corporate, securities and broker-dealer laws and regulations, and other...
of 10 years of experience in a broker-dealer, financial institution and/or law firm ... license - Minimum of 10 years experience in broker-dealer, financial institution and/or...
regulatory matters. Assist Managing Counsel in advising with respect to broker-dealer ... groups, including: Dealer Lending, Dealer Products and Commercial Finance o...
equity research, sales and trading, broker-dealer regulatory requirements, SEC and SRO ... institution advising on broker-dealer regulatory issues, cash equity trading issues...
Scottrade, Inc. has a Associate General Counsel (Bank)position available inSt. Louis, ... credible within the organization and in the broker-dealer community. * Excellent...
issues to Scottrade, Inc., a broker-dealer, and Scottrade Investment Management, ... by Scottrade, Inc., the firm'sbroker-dealer, and Scottrade Investment Management,...
of the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, ... and to authorize theirbroker-dealers to provide FINRA with duplicate statements...
our website.* TIAA-CREF seeks an attorney who will report to the Senior ... entities distributing insurance products (broker dealers, trust company). · Provide legal...
meetings held with the Regional Chief Counsel, supervise attorneys and the matters ... proceedings; and, serve as co-counsel with attorneys, when necessary, to help...
Group and Wine Division. The attorney will provide strategic guidance, ... The company also offers funds management, broker-dealer transactions and asset management,...
broker/dealer and fourth largest broker/dealer with more than 13,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Financial the largest independent broker-dealer (IBD) in the managed account ... or eligible for admission as house counsel.The responsibilities for this position...
scenes to power transformational change for broker-dealers, registered investment ... services and specific experience with a broker-dealer, registered investment advisor,...
Counsel, you will: Position Summary: This attorney will be part of the Corporate ... Counsel in advising with respect to broker-dealer legal issues. * Design and implement...
litigation 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.
The Legal Counsel will report directly to the Senior Legal Counsel, and will support the ... and affiliates, includingbroker dealer, SSAE16 audits and AML audits. Research...
academic credentials. Experience at broker-dealer, trading or asset management ... duties including: Assisting the General Counsel and other members of the Legal and...
contracts of various nature involving KCG's broker-dealer and operating subsidiaries, ... including, but not limited to, equities (broker-dealer, electronic trading,...
laws governing variable and fixed products, broker-dealers, and investment advisory ... This senior attorney will provide counsel and advice to various internal...
clients in contractual matters, including broker-dealer issues and regulatory implications. Working knowledge of the '33 Act and the '34 Exchange Act and regulations thereunder.