EMPLOYMENT TUESDAY at BrokeAndBroker.com

May 5, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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SALES and SUPPORT JOBS
  • Branch Manager 

    NEW

    M & T Bank

     - Canton, MS

    Title: Branch Manager Location: Maryland-Baltimore-Canton Other Locations: Retail Banking Division Branch Manager 40 Hours Per Week Canton Branch Baltimore, MD Basic Function The...

    1 day ago from Women's Career Channel
     
  • Branch Manager 

    NEW

    Keybank

     - Eatonville, 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...

    1 day ago from KeyBank
     
  • Branch Manager 

    NEW
    Corfu, NY

    DESCRIPTION/RESPONSIBILITIES:Retail Banking DivisionBranch Manager40 Hours Per WeekCorfu BranchCorfu, New YorkBasic FunctionThe Branch Manager is responsible for overall...

    2 days ago from None
     
  • Branch Manager

    Ameriprise Financial

     - Kansas City, MO

    Job DescriptionDrive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable...

    5 days ago from A Mighty River
     
  • Branch Manager

    M&t Bank

     - Corfu, NY

    Retail Banking Division Branch Manager 40 Hours Per Week Corfu Branch Corfu, New York Basic Function The Branch Manager is responsible for overall profitability by directing sales...

    8 days ago from Jofdav
  • Financial Advisor 

    NEW

    American International Group

     - Pittsburgh, PA

    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 Advisor 

    NEW

    BB&T Bank

     - Birmingham, AL

    Essential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...

    17 hours ago from IHispano
     
  • Financial Advisor 

    NEW

    BMO

     - Palatine, IL

    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'...

    17 hours ago from IHispano
     
  • Financial Advisor 

    NEW

    BB&T

     - Richmond, VA

    Auto req ID 33541BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Richmond, VA - 901 East Byrd Street Language Fluency English...

    1 day ago from BB&T
     
  • Financial Advisor 

    NEW

    Investors Bank

     - Morganville, NJ

    ## Job Description POSTION OBJECTIVES * Provide sound financial advice to customers by evaluating their financial condition, needs and future goals. * Must keep abreast of...

    2 days ago from Investors Bank
     
  • Financial Advisor 

    NEW

    American International Group

     - Los Angeles, CA

    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...

    2 days ago from American International Group
     
  • Financial Advisor 

    NEW

    Peoples Bancorp

     - Beachwood, OH

    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...

    3 days ago from Peoples Bancorp Inc.
     
  • Financial Advisor 

    NEW

    Brightstar Credit Union

     - Fort Lauderdale, FL

    Gateway Services Group (BrightStar Credit Union) BrightStar Credit Union is partnering with Gateway Services Group to select a Financial Advisor that will work with our members.

    3 days ago from Jobing.com
     
  • Financial Advisor

    First Command Financial Services

     - Hagåtña, GU

    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...

    4 days ago from First Command Financial Services, Inc.
     
  • Financial Advisor

    Chattanooga, TN

    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...

    4 days ago from None
     
  • Financial Advisor

    AXA Advisors

     - New York City, NY

    Â Â DO YOU HAVE WHAT IT TAKES TO POTENTIALLY MAKE SIX FIGURES? Â AXA Advisors, LLC is one of the largest financial firms in the U.S. looking for highly motivated, results-oriented...

    4 days ago from ActiveHire
     
  • Financial Advisor

    New York Life

     - Waltham, MA

    Career Description: Financial Services Professionals help clients identify and achieve their financial goals. New York Life Insurance Company and its affiliates are dedicated to...

    5 days ago from Scuddle
     
  • Financial Advisor

    Ninjob | Employment Marketing

     - Bettendorf, IA

    Do these words describe you…Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The Principal Financial Group® is growing and is...

    5 days ago from Ninjob | Employment Marketing
     
  • Financial Advisor

    BMO Harris Bank

     - Palatine, IL

    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...

    6 days ago from Jobing.com
     
  • Financial Advisor

    BMO

     - Kokomo, IN

    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'...

    9 days ago from Women's Career Channel
     
  • Financial Advisor

    Bank of the West

     - Aurora, CO

    What 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...

    9 days ago from IHispano
     
  • Financial Advisor

    BMO Harris Bank

     - Palatine, IL

    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'...10 days ago from BMO Harris Bank

  • Anticipated Private Client Advisor - Chase Wealth Management - Rolling Hills Estates 

    NEW

    JPMorgan Chase

     - Long Beach, CA

    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 - Brooklyn, NY (Mill Basin) 

    NEW

    JPMorgan Chase

     - Brooklyn, 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
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Dupage County 

    NEW

    JPMorgan Chase

     - Downers Grove, IL

    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
     
  • Anticipated Private Client Advisor - Chase Wealth Management - San Diego Central 

    NEW

    JPMorgan Chase

     - Vista, CA

    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 - Austin, Texas Area 

    NEW

    JPMorgan Chase

     - Austin, TX

    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
     
  • Division Manager Commercial Banking - Middle Market 

    NEW

    JPMorgan Chase

     - New York City, NY

    Commercial Banking Middle Market - Division Manager, New York Metro Middle Market Banking & Specialized Industries (MMBSI) is a Commercial Banking business located in 101 offices...

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

    NEW

    JPMorgan Chase

     - Milwaukee, 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...

    1 day ago from JPMorgan Chase
     
  • Chase Wealth Management - Financial Advisor - Vancouver Mall 

    NEW

    JPMorgan Chase

     - Vancouver, WA

    *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...

    1 day ago from JPMorgan Chase
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Sammamish Plateau 

    NEW

    JPMorgan Chase

     - Sammamish, WA

    *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...

    1 day ago from JPMorgan Chase
     
  • Anticipated Private Client Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Seattle, WA

    *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...

    1 day ago from JPMorgan Chase
     
  • In-Store Personal Banker - Bee Cave HEB 

    NEW

    JPMorgan Chase

     - Bee Cave, TX

    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...

    1 day ago from JPMorgan Chase
     
  • Financial Advisor - Chase Wealth Management -Southeast Houston, TX Area 

    NEW

    JPMorgan Chase

     - League City, 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...

    1 day ago from JPMorgan Chase
     
  • In-Store Personal Banker - Pflugerville HEB 

    NEW

    JPMorgan Chase

     - Pflugerville, TX

    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...

    1 day ago from JPMorgan Chase
     
  • In-Store Personal Banker - Parmer HEB 

    NEW

    JPMorgan Chase

     - Austin, TX

    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...

    1 day ago from JPMorgan Chase
     
  • Supervisory Manager - Chase Wealth Management - Houston, Texas Area 

    NEW

    JPMorgan Chase

     - Houston, TX

    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...

    1 day ago from JPMorgan Chase
     
  • Vice President, Relationship Manager Corporate Client Banking - Financial Institutions Group - Banks Coverage -South Region (Dallas or Fort Worth) 

    NEW

    JPMorgan Chase

     - Dallas, TX

    *Vice President, Relationship Manager, Corporate Client Banking - Financial Institutions Group -Banks Coverage - South Region**( Dallas or Fort Worth)* Description: The position...

    1 day ago from JPMorgan Chase
     
  • Private Client Advisor - Chase Wealth Management - Dallas/Highland Park Area 

    NEW

    JPMorgan Chase

     - Dallas, 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...

    1 day ago from JPMorgan Chase
     
  • Chase Wealth Management - Chase Private Client Investment Associate - Fort Worth, Texas (Lake Worth Jacksboro Hwy) 

    NEW

    JPMorgan Chase

     - Fort Worth, TX

    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 trillion and...

    1 day ago from JPMorgan Chase
     
  • Chase Wealth Management - Chase Private Client Investment Associate - McAllen, Texas (McAllen Neuhaus) Bilingual Spanish Required 

    NEW

    JPMorgan Chase

     - Mcallen, TX

    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 trillion and...

    1 day ago from JPMorgan Chase
     
  • Chase Private Client - Private Client Advisor - Portland, OR (Bethany Village) 

    NEW

    JPMorgan Chase

     - Portland, OR

    *_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...

    2 days ago from JPMorgan Chase
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Beaverton 

    NEW

    JPMorgan Chase

     - Hillsboro, OR

    *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...

    2 days ago from JPMorgan Chase
     
  • Anticipated Chase Wealth Management - Financial Advisor Associate 

    NEW

    JPMorgan Chase

     - Columbus, OH

    * 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...

    2 days ago from JPMorgan Chase
     
  • Anticipated Financial Advisor - Chase Wealth Management - Columbus, OH (Clime Rd) 

    NEW

    JPMorgan Chase

     - Columbus, OH

    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...

    2 days ago from JPMorgan Chase
     
  • Corporate Compliance - Registration Advisory - Associate 

    NEW

    JPMorgan Chase

     - Columbus, OH

    JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in...

    2 days ago from JPMorgan Chase
     
  • Chase Wealth Management - Financial Consultant 

    NEW

    JPMorgan Chase

     - Westerville, OH

    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...

    2 days ago from JPMorgan Chase
  • Experienced Financial Services Representative 

    NEW

    MetLife

     - Alabama

    Description Summary of Responsibilities : An Experienced Financial Services Representative (EXP) is an individual or an entity that is entrusted with the task of providing advice...

    2 days ago from MetLife
     
  • Relationship Management Support Annuity 

    NEW

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description Job Summary: The Relationship Management Associate - Annuityis responsible for working with assigned Strategic Relationship Managers...

    2 days ago from MetLife
     
  • Financial Services Representative 

    NEW

    MetLife

     - Virginia

    Description At MetLife Premier Client Group, we are committed to providing clients with the holistic wealth and risk management solutions they need. Our Financial Services...

    2 days ago from MetLife
     
  • Research & Resolution Rep IV

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description Responsible for the Research and resolution of annuity group issues, including but not limited to product specifications, death claims,...

    4 days ago from MetLife
     
  • Agency Compliance Consultant

    MetLife

     - Connecticut

    Job Location Shelton, CT Job Description Job Summary: Ensures agency compliance responsibilities and related supervisory requirements are maintained. Ensures agency activities and...

    4 days ago from MetLife
     
  • Financial Planning Administrative Coordinator

    MetLife

     - New Jersey

    Job Location Somerset, NJ Job Description Job Summary: The Financial Planning Administrative Coordinator serves as the first line of contact for all incoming inquires to the...

    4 days ago from MetLife
     
  • Director Life Insurance Product Development

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description Job Summary: As a key member of the Retail Life's product development team, this position plays a critical role in providing oversight...

    5 days ago from MetLife
     
  • Manager Agency Compliance

    MetLife

     - New York

    Job Location New York, NY Job Description Ensure agency compliance responsibilities and related supervisory requirements are maintained. Ensure agency activities and materials...

    6 days ago from MetLife
     
  • Compliance Associate

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description Summary of Responsibilities: This individual contributor role supports MetLife's U.S. Compliance organization, which is responsible for...

    10 days ago from MetLife
     
  • Recruiting Coordinator

    MetLife

     - Michigan

    Job Location Novi and Southfield Michigan area Job Description Position Summary: Provide ongoing support to firm management in achieving recruiting objectives. Participate in...

    10 days ago from MetLife
  • Financial Advisor 

    NEW

    American International Group

     - Pittsburgh, PA

    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 Advisor - Columbia, Missouri 

    NEW

    American International Group

     - Fayetteville, NC

    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
     
  • Inbound Sales Associate 

    NEW

    American International Group

     - Woodland Hills, CA

    Position Description As an Associate on our Inbound Call Team, you will use your excellent communication and sales skills to provide detailed product information and respond to...

    10 hours ago from American International Group
     
  • Financial Advisor -Little Rock, AR 

    NEW

    American International Group

     - Fayetteville, NC

    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 Advisor - Tucson 

    NEW

    American International Group

     - Scottsdale, AZ

    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
     
  • Operation Processor II 

    NEW

    American International Group

     - Oakdale, MN

    Position Description Provide support for new financial advisors joining Advisor Group. Acquire all required documentation and information to join a new Broker/Dealer. Work closely...

    10 hours ago from American International Group
     
  • Licensed Internal Wholesaler 

    NEW

    American International Group

     - Woodland Hills, CA

    Position Description This is an excellent position for someone looking for a career in financial sales. The internal wholesaler will work with external wholesaler(s) as a business...

    10 hours ago from American International Group
     
  • SVP Recruiting and Acquistion Strategy 

    NEW

    American International Group

     - Minneapolis, MN

    Position Description Advisor Group Senior Vice President of Recruiting Strategy and Acquisitions This position is responsible for assisting in the overall design and developing...

    10 hours ago from American International Group
     
  • Financial Advisor Enroller- Tidewater 

    NEW

    American International Group

     - Richmond, VA

    Picture yourself building a successful career at VALIC, where you are in charge of your financial success! VALIC is a leader in the retirement planning marketplace and provides...

    1 day ago from American International Group
     
  • Branch Office Examiner 

    NEW

    American International Group

     - Houston, TX

    Conduct approximately 100-120 exams per year. * Travel independently 50% of the time. * Schedule and discuss exam expectations with the OSJ and Satellite branches. * Prepare for...

    1 day ago from American International Group
     
  • Director Internal Sales 

    NEW

    American International Group

     - Houston, TX

    Director Internal Sales- Houston The Director of Internal Sales purpose is to Supervise, Train and Coach Internal Wholesalers & Team Leaders, support External Sales Management and...

    1 day ago from American International Group
     
  • Director - Life Sales- Western Region 

    NEW

    American International Group

     - Houston, TX

    Director - Life Sales Position Summary: Selected candidates will provide wholesaling support to drive enterprise life product sales within the AIG Financial Network career...

    1 day ago from American International Group
     
  • Entry Level Inside Sales Retirement Specialist - Paid training 

    NEW

    American International Group

     - Houston, TX

    Why AIG? At AIG, we offer a unique opportunity that will launch your career with opportunities for professional growth and development supported by a powerful entrepreneurial...

    1 day ago from American International Group
     
  • Regional Vice President, Insured Solutions Group- Central Southwest 

    NEW

    American International Group

     - Dallas, TX

    Regional Vice President- Insured Solutions Group Advisor Group Channel The Regional Vice President (RVP) for Life Sales is the central resource and relationship manager for their...

    1 day ago from American International Group
     
  • Financial Advisor - Tri Cities 

    NEW

    American International Group

     - Johnson City, TN

    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...

    1 day ago from American International Group
     
  • Financial Advisor - Oak Ridge/Knox County 

    NEW

    American International Group

     - Knoxville, TN

    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...

    1 day ago from American International Group
     
  • Regional Vice President 

    NEW

    American International Group

     - Brentwood, TN

    Regional Vice President - MId America Identify, develop, and implement strategies for increasing revenue growth and profitability within a defined territory. The assigned...

    1 day ago from American International Group
     
  • Life Insurance Internal Wholesaler - Nashville, TN (Base + Commission) 

    NEW

    American International Group

     - Nashville, TN

    This position available in Brentwood/Nashville, TN. A relocation allowance will be considered on a case by case basis. AIG is currently seeking motivated internal wholesalers with...

    1 day ago from American International Group
     
  • Financial Advisor Enroller 

    NEW

    American International Group

     - Providence, RI

    Picture yourself building a successful career at VALIC, where you are in charge of your financial success! VALIC is a leader in the retirement planning marketplace and provides...

    1 day ago from American International Group
     
  • Regional Vice President, Insured Solutions Group- Midwest 

    NEW

    American International Group

     - Pittsburgh, PA

    Regional Vice President, Insured Solutions Group Advisor Group Channel The Regional Vice President (RVP) for Life Sales is the central resource and relationship manager for their...

    1 day ago from American International Group
     
  • Regional Vice President, Insured Solutions Group 

    NEW

    American International Group

     - Philadelphia, PA

    Regional Vice President- Insured Solutions Group Advisor Group Channel The Regional Vice President (RVP) for Life Sales is the central resource and relationship manager for their...

    1 day ago from American International Group
     
  • Financial Advisor - Wood County Territory 

    NEW

    American International Group

     - Toledo, OH

    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...

    2 days ago from American International Group
     
  • Financial Advisor - Nassau County NY Territory 

    NEW

    American International Group

     - Mineola, NY

    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...

    2 days ago from American International Group
     
  • Deputy Chief Compliance Officer -Investment Advisory Compliance 

    NEW

    American International Group

     - New York City, NY

    This position will report to the CCO of Investment Advisory Compliance of the Advisor Group. The Advisor Group, a subsidiary of American International Group, is comprised of four...

    2 days ago from American International Group
     
  • Financial Advisor - Camden County New Jersey Territory 

    NEW

    American International Group

     - Cherry Hill, NJ

    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...

    2 days ago from American International Group
  • Compliance Officer 

    NEW

    Robert Half

     - New York City, NY

    The Compliance Officer will have experience with SEC and FINRA rules and regulations, know ... ChiefCompliance Officer and management on compliance and supervisory matters - Helps...

    2 days ago from Robert Half
     
  • Compliance Officer

    Recruiting

     - Glenview, IL

    Compliance Officer Regal Securities is currently seeking an experienced Compliance Officer ... reports as part of AML filings for AML officer review Schedule FINRA CRD system...

    4 days ago from Recruiting
     
  • Compliance Officer

    Hanson McClain Advisors

     - Sacramento, CA

    SUMMARY OF THE POSITION: The Compliance Officer position is responsible for assisting with ... enhancing, developing and implementing compliance policies and procedures; assisting...

    7 days ago from Accolo
     
  • Compliance Officer

    Accolo

     - Sacramento, CA

    SUMMARY OF THE POSITION: The Compliance Officer position is responsible for assisting with ... * Identifies potential areas of compliance vulnerability and risk; develops/implements cor...

    7 days ago from Accolo
  • Senior Compliance Officer 

    NEW

    Michael Page International - US

     - Manhattan, NY

    for all Oversee compliance with SEC, FINRA and state rules and regulations ... Bank. In coordination with AMLCompliance Officer, maintain and update the Compliance...

    14 hours ago from eFinancial Careers
     
  • Senior Compliance Officer 

    NEW

    INVESCO

     - Downers Grove, IL

    develop, coordinate, and implement various compliance monitoring activities, ongoing ... * Experience with the regulatory environment (SEC, CFTC/NFA, FINRA, and ERISA)...

    2 days ago from Invesco
     
  • Senior Compliance Officer

    Compliance Search Group

     - New York City, NY

    Senior Compliance Officer A Global Advisory firm seeks a Chief Compliance Officer (CCO) ... S/he will support the Corporate CCO on compliance strategic initiatives and all compliance...

    9 days ago from The Ladders
  • Chief Compliance Officer 

    NEW

    Boutique Investment Management Firm

     - Chicago, IL

    To serve as Chief Compliance Officer of Investment Management's direct real estate ... business in the Americas,compliance officer of Investment Management's public...

    22 hours ago from IvyExec
  • Compliance Analyst 

    NEW

    Prudential

     - Newark, NJ

    be working with several established compliance officers to provide day-to-day compliance ... **Investments* **Title:** *Compliance Analyst* **Location:** *New Jersey-Newark*...

    2 days ago from Prudential
     
  • Compliance Analyst

    Prudential Financial

     - Newark, NJ

    be working with several established compliance officers to provide day-to-day compliance ... Assist with regulatory and compliance related inquiries and examinations, including...

    5 days ago from Prudential Financial, Inc
  • Senior Counsel, Equity Capital Markets & M&A (00933786) 

    NEW

    Michael Page International - US

     - Manhattan, NY

    It also involves managing outside counsel, and where necessary, coordinating ... compliance professionals. Profile The Senior Counsel, Equity Capital Markets & M&A...

    8 hours ago from eFinancialCareers Ltd
     
  • Paralegal 

    NEW

    Winter Park Resort

     - Denver, CO

    assistance and support in all facets of SEC, FINRA and NYSE compliance Support in the ... with internal and external litigation counsel in responding to discovery requests.

    10 hours ago from Winter Park Resort
     
  • Corporate Attorney--Fund Formation 

    NEW

    Lsj

     - New York City, NY

    Seed and strategic investor transactions -Fiduciary obligations and side letters -Draft compensation agreements -Compliance rules and regulations of SEC, FINRA and other...

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    Michael Page International - US

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    BB&T Bank

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    Leading Financial Services Firm

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    Lsj

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    Leading Insurance Company

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  • Retirement & Institutional Services Business Development Officer II 

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    BB&T

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    AXA

     - Syracuse, NY

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    US Bank

     - Charlotte, NC

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    Finra

     - Rockville, MD

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     - Minneapolis, MN

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