EMPLOYMENT TUESDAY at BrokeAndBroker.com
May 26, 2015
Financial Advisor - Wayne County Michigan Area
American International Group
- Detroit, MIPosition 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 Planning Advisor
American International Group
- Atlanta, GAPosition 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 - Ft Myers
American International Group
- Fort Myers, FLPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Regional Vice President
American International Group
- Indianapolis, INPosition Description Regional Vice President - MId America Identify, develop, and implement strategies for increasing revenue growth and profitability within a defined territory.
Regional Life Specialist, Insured Solutions Group-Northeast
American International Group
- Hartford, CTPosition Description Regional Life Specialist- Insured Solutions Group Advisor Group Channel The Regional Life Specialist (RLS) for Life Sales is the central resource and...
Regional Life Specialist, Insured Solutions Group- Northern Midwest
American International Group
- Chicago, ILPosition Description Regional Life Specialist- Insured Solutions Group Advisor Group Channel The Regional Life Specialist (RLS) for Life Sales is the central resource and...
Operations Supervisor
American International Group
- Phoenix, AZPosition Description Responsible for supervising a team of eight and working with team members at sister Broker Dealers. Monitor the workflow and day to day operations to ensure...
Financial Advisor
American International Group
- Danville, VAPosition 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 - Monmouth County
American International Group
- Morristown, NJPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Licensed Internal Wholesaler
American International Group
- Jersey City, NJPosition Description SunAmerica Asset Management is one of the nation's leading producers and distributors of mutual funds and asset management services. We manage and/or...
Financial Advisor - Hudson County
American International Group
- Jersey City, NJPosition 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 - Morris County
American International Group
- Morristown, NJPosition 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 - Overland Park, Kansas
American International Group
- Scottsdale, AZPosition Description Location: Overland Park, Kansas Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering...
Financial Advisor - Nassau County NY Territory
American International Group
- Mineola, NYPosition 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 - Minneapolis/St. Paul
American International Group
- Minneapolis, MNPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Licensing Specialist - Sun America
American International Group
- Amarillo, TXPosition Description As a Licensing Specialist on the Licensing team you will be responsible for appointing agents and broker/dealers within the 50 states so they may sell annuity...
Financial Advisor - Camden County New Jersey Territory
American International Group
- Cherry Hill, NJPosition 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 - St. Louis, MO
American International Group
- Fayetteville, NCPosition 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 - Wayne Bergen County
American International Group
- Wayne, NJPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Director Internal Sales
American International Group
- Houston, TXPosition Description Director Internal Sales- Houston The Director of Internal Sales purpose is to Supervise, Train and Coach Internal Wholesalers & Team Leaders, support External...
Financial Advisor - Northeast VT Territory
American International Group
- St Johnsbury, VTPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Sales Training Manager
American International Group
- Houston, TXPosition Description This is an excellent position for someone looking for an opportunity to be part of an expanding Sales Training Department. The Training Specialist position...
Financial Avisor- AIG Advisor Group
American International Group
- Houston, TXPosition Description Experienced Financial Advisors Only Why Spend 80% of your time prospecting and only 20% of your time advising? What if you could spend 80% of your time...
Regional Supervision Manager
American International Group
- Oakdale, MNPosition Description Responsible for the review of brokerage and directly-held transactions within the back-office systems; ensure those transactions are suitable based on stated...
Financial Advisor - Broward County
American International Group
- Fort Lauderdale, FLPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Associate Financial Consultant - Greater DC Area(0410-22877)
NEWCharles Schwab Corporation
- Bethesda, MDWe 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.
Restricted Stock Sr. Specialist(20150515-1778)
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.
Restricted Stock Specialist(20150515-1777)
NEWCharles Schwab Corporation
- Englewood, 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.
Restricted Stock Specialist(20150515-1776)
NEWCharles Schwab Corporation
- Englewood, 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.
Client Service Specialist - Alexandria, VA(20150521-1851)
NEWCharles Schwab Corporation
- Alexandria, VAWe 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, Communications Compliance(20150518-1795)
NEWCharles Schwab Corporation
- Austin, 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.
Cashiering Team Lead(20150515-1771)
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.
Sales Director, Managed Account and Alternative Investment(20150428-1563)
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.
Associate Financial Consultant - Pleasanton, CA(20150521-1849)
Charles Schwab Corporation
- Pleasanton, 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.
Internal Sales Representative - Charles Schwab Investment Management(20150511-1685)
Charles 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.
Associate Financial Consultant- Stockton, CA(20150518-1813)
Charles Schwab Corporation
- Stockton, 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.
Associate Financial Consultant- Oakland, CA (Sourcing Req)(0521-23591)
Charles Schwab Corporation
- Oakland, 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.
Client Service Specialist - Cherry Creek, CO(20150518-1798)
Charles Schwab Corporation
- Cherry Creek, 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.
Regional Support Specialist - Advisor Services (South Central Region)(0520-23587)
Charles Schwab Corporation
- Plano, 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 - Cincinnati, OH(20150518-1797)
Charles Schwab Corporation
- Cincinnati, OHWe 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. Relationship Manager, Advisor Services - Southern Region(0518-23531)
Charles Schwab Corporation
- Atlanta, GAWe 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 - Paramus, NJ(20150508-1668)
Charles Schwab Corporation
- Paramus, NJWe 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.
Associate Financial Consultant - Colorado Springs, CO(20150518-1800)
Charles Schwab Corporation
- Colorado Springs, 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.
Client Service Specialist - Franklin, TN(20150518-1815)
Charles Schwab Corporation
- Franklin, TNWe 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 - Seal Beach, CA(20150518-1793)
Charles Schwab Corporation
- Seal Beach, 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.
Vice President, Financial Consultant - Salt Lake City, UT(20150518-1803)
Charles Schwab Corporation
- Salt Lake City, UTWe 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. Relationship Manager, Advisor Services - Chicago Metro Region(0518-23530)
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.
Manager, Risk Analysis(20150512-1699)
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.
Associate Financial Consultant - Kenilworth, IL(1211-21165)
Charles 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.
Client Service Specialist Ops Manager- Richfield, OH(20150503-1621)
Charles Schwab Corporation
- Dayton, OHWe 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 Service Specialist-Sales Support - Chase Wealth Management
JPMorgan Chase
- Columbus, OHThe Chase Private Client (CPC) Service Specialist is responsible for delivering a superior service as we assist our advisors with the sales of bank managed products on the private...
Asset Management Private Bank Latin America Investment Team Lead HNW/Mexico
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 - Private Bank - Investment Specialist - VP - Emerging High Net Worth
JPMorgan 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,...
Chase Private Client Investment Associate
JPMorgan Chase
- Columbus, OHChase Private Client (CPC) is an exclusive business within Chase that caters to affluent customers. CPC is one of the firm's key growth priorities over the next few years. CPC is...
Corporate Compliance - Registration Advisory - Associate
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 Financial Advisor - Chase Wealth Management - Lompoc, CA and Surrounding Area
JPMorgan Chase
- Santa Maria, CAFinancial Advisor Associate Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...
Asset Management, Client Service Associate, Private Banking
JPMorgan 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...
CIB - Equity Derivatives Hedge Fund Sales - Vice President -
JPMorgan Chase
- New York City, NYAbout J.P. Morgan Corporate & Investment Bank J.P. Morgan's Corporate & Investment Bank (CIB) is a global leader across banking, markets and investor services. The world's most...
Asset Management - Private Bank Investment Specialist - HNW Executive Wealth Group
JPMorgan Chase
- New York City, NYJ.P. Morgan Private Bank Investment Specialist J.P. Morgan is a global leader in asset and wealth management services. We serve four distinct client groups through two businesses:...
Asset Management Transaction Processing Manager - Associate
JPMorgan Chase
- Newark, DECash Operations is a team dedicated to servicing all of the client needs from transaction processing through investigations support. Individual is responsible for daily workflow,...
Chase Wealth Management - Financial Advisor - Poland, OH (Poland)
JPMorgan Chase
- Poland, 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...
Chase Wealth Management - Financial Advisor Associate - Bay Ridge
JPMorgan Chase
- Brooklyn, NYFinancial Advisor Associate Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...
Anticipated Private Client Advisor - Chase Wealth Management - Salt Lake City
JPMorgan Chase
- Bountiful, UTFinancial 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
- Grand Rapids, MIFinancial 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 Private Client Advisor - Chase Wealth Management
JPMorgan Chase
- Wenatchee, WAFinancial 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...
Corporate Compliance - Bank Discretionary Investment Management, 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...
Anticipated Private Client Advisor - Chase Wealth Management - Alhambra Valley
JPMorgan Chase
- Monrovia, 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...
Chase Private Client Investment Associate - Lexington, KY (Zandale)
JPMorgan Chase
- Lexington, KYChase 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...
Anticipated Private Client Advisor - Chase Wealth Management - Lakewood, CA (Del Amo)
JPMorgan Chase
- Buena Park, 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...
Private Client Advisor - Chase Wealth Management -South Austin, Texas Area
JPMorgan Chase
- Lakeway, 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...
Financial Advisor
NEWMultinational 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
NEWMajor 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
NEWFirst Command Financial Services
- Santa Maria, CAFirst 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
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
American International Group
- Danville, VAPosition 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
BMO
- Chicago, 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
BMO
- Kokomo, INPremier 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
BB&T
- Rockville, MDAuto req ID 32777BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Rockville, MD - 9401 Key West Avenue Language Fluency English...
Financial Advisor
Leading Financial Services Firm
- Wyomissing, PASr. Wealth Advisor This firm takes great pride in the fact that they have one of the highest client retention rates in the industry with over 95% of their clients remaining with...
Financial Advisor
NASA Federal Credit Union
- Upper Marlboro, MDThe Financial Advisor provides professional advisory services to Private and Business clients. Prepares and delivers comprehensive financial plans that may include portfolio...
Financial Advisor
BB&T
- Greenville, NCEssential 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...
Financial Advisor
AXA Advisors
- Oklahoma City, OKFinancial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...
Financial Advisor
Hancock Bank
- FloridaCoordinates with bank business partners in order to have the opportunity meet with bank customers and determine how to meet their investment needs Develops marketing and sales...
Financial Advisor
AIG Financial Advisors
- Sarasota, FLPosition 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 Firm Service Compliance Requires Series 7, 24 and/or 65
NEWGreen Financial Resources
- Duluth, GAinvestment products and financial industry compliance regulations is desired. Attention ... issues; and assisting with broker/dealer and FINRA/SEC audits; amongst other...
PART TIME OPERATIONS and COMPLIANCE ASSOCIATE
NEWDavis Capital Advisors
- New York, NYproposals using Excel and Power Point;Compliance Responsibilities include:-Maintain ... the firm's compliancewith all FINRA, MSRB, SEC securities and exchange...
Business Analyst/ Model Development & Management
NEWNew York City, NYpersonnel processes, audit/compliance, premises, and coordination of certain projects, ... Requires a minimum ofFINRA Series 7 and Series 66 licensing. Working knowledge...
Private Banking Wealth Management Lawyer
NEWMultinational Financial Services Holding Company
- New York City, NYAct, the '33 and ‘34 Acts as well as the FINRA rules and regulations related to the ... and work closely with the Chief Compliance Officer and Compliance Department for...
Corporate Compliance Fixed Income Compliance Vice President
NEWJPMorgan - Finance Industry
- New York City, NYCompliance Department is seeking an experienced compliance officer or attorney to join its ... swap dealer CCO and other members of the compliance department...
Compliance Marketing Review Officer
NEWLeading Global Financial Services Firm
- New York City, NYand separately managed accounts to assess compliance with FINRA and SEC rules and ... skills; -Extensive knowledge of FINRA and SEC regulations that addressing...
Compliance Coverage Officer - FID FX and Emerging Markets
NEWLeading Global Financial Services Firm
- New York City, NYCompliance Department manages a Firmwide Compliance Risk Management program, including ... · Knowledge of regulatory compliance including FINRA, SEC and CFTC regulations;...
Complex Risk Officer
NEWLeading Global Financial Services Firm
- Ridgewood, NJas related to risk and compliance · Together with the Senior Complex Risk Officer, ... FINRA and Firm CompliancePolicies and Procedures · Effective written and verbal...
Compliance Officer - Investments
NEWGlobal Provider of Financial Consulting Services
- Philadelphia, PAThe Compliance Officer handles substantive compliance responsibilities such as the ... The Compliance Officerwill take a lead role in the firms compliance program under Rules 3...
Compliance Officer â?? FRC Advisory
NEWPrivate Wealth & Asset Management Firm
- New York City, NYservices company, seeks a Compliance Officer to support the IB Americas FRC (FX, ... Advisory - responsible for providing compliance coverage to the UBS Investment...
Wealth Associate Relationship Manager
NEWBB&T
- Dallas, TXManager is a developmental position for officer level candidates desiring a career in ... clients. 6. Work within the existing audit, compliance, and regulatory framework in order...
Investment Services Financial Advisor
NEWHomestreet Bank
- Pasadena, CAAuthority \(FINRA\), the Federal Deposit Insurance Corporation \(FDIC\) and state ... In addition, we ensurecompliance with federal, state and local laws governing nondiscrimi...
Senior Compliance Officer - Affluent, High Net Worth & Specialty Services
NEWMajor International Bank
- Puerto RicoBilingual a plus (English, Spanish and/or Portuguese preferred) FINRA securities Licenses ... understanding of bank and/or brokerage compliance and control issues/risks Excellent...
Compliance Officer- Fixed Income
NEWMajor International Bank
- New York City, NYThe position is for a Fixed Income Compliance Officer within Institutional Client Group ... approvals and interpretation of internal compliance policies; Draft compliance...
Chief Compliance Officer
NEWInvestment Advisory Firm
- New York City, NYMaintain Compliance Manual and Code of Ethics and enforcing policies of FINRA Broker ... complianceprocedures. Conducting annual compliance meeting with employees and updating...
Securities Licensing Specialist
NEWRBC
- Minneapolis, MNReports To: Registration Manager Department: Compliance Licensing and Registration PURPOSE ... who join RBC from other firms. Work with Compliance Officers to amend employee licensing...
Vp Premier Relationship Manager
NEWHSBC - Finance Industry
- Temple City, CACompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...
Director of Anti-Money Laundering
NEWIntl FCStone
- Chicago, ILtools. • Assist Chief Compliance Officers for the various entities with their ... management on AML complianceissues • Identifies potential areas of compliance...
Private Wealth Management - Complex Risk Officer
NEWLeading Global Financial Services Firm
- Miami, FLThe Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and ... - Knowledge of SEC,FINRA and Firm Compliance Policies and Procedures - Effective...
COMPLIANCE EXAMINER
NEWStifel Nicolaus
- St Louis, MOCompliance Officer or Chief Compliance Officer. Provides input to guidelines for ... Compliance Officer or ChiefCompliance Officer. Required Skills KNOWLEDGE, SKILLS AND...
Broker-Dealer Chief Compliance Officer
NEWAmeritas
- Bethesda, MDresponsible broker-dealer compliance experience either as a compliance ... compliance officer. • Investment advisory experience. • Project management...
Compliance Consultant 3
NEWWells Fargo
- Charlotte, NCLocation: Charlotte,NC Qualifications: WFS-Compliance This Compliance Officer will ... group partners. More specifically, this Compliance Officer will (1) assist with...
Senior Compliance Analyst Data Mining Analytics
NEWCiti
- Long Island City, NYFINRA and Federal Regulations. As part of Compliance Testing, the candidate will work ... controls, assurance/audit, financial, and/or compliance Primary Location: United...
Business Analyst
Hired By Matrix
- Newark, NJ* Demonstrated knowledge of FINRA and SEC licensing and registration requirements, U4/U5 p ... * Prior experience in a Regulatory or Compliance role is highly desirable. Approx.
Corporate Compliance - Registration Advisory - Associate
JPMorgan Chase
- Columbus, OHManagement and Chase Private Client. The Sr. Compliance Officer will be responsible for ... investment adviser registration, compliance or legal functions or other equivalent...
VP Premier Relationship Manager
HSBC
- Temple City, CACompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...
Complex Risk Officer
Morgan Stanley
- Boston, MAas related to risk and compliance · Together with the Senior Complex Risk Officer, ... FINRA and Firm CompliancePolicies and Procedures · Effective written and verbal...
Deputy Chief Compliance Officer -Investment Advisory Compliance
American International Group
- Atlanta, GAnecessary. • Responding to IA compliance-related inquiries from sales representatives, ... Advanced degree (JD or MBA) and/or compliance certifications preferred...
Sr Compliance Analyst
American International Group
- Phoenix, AZthe BD Chief Compliance Officer, Deputy CCO, Legal, Field Supervision, and internal ... • Assist in the monitoring of Company compliance with state/federal law and rules and regu...
AML Analyst
American International Group
- Atlanta, GAGeneral Compliance Knowledge - Must have extensive knowledge of FINRA, SEC and ... manual, FINRA Notices to Members, Compliance notices and other publications...
Private Bank Client Service Associate
Umpqua Bank
- Portland, ORall Bank policies and procedures, compliance regulations, and completes all ... • Maintain all FINRA continuing education requirements and participate in Broker/Dealer tr...
PNCI - Regional Supervisory Officer
PNC
- Wilmington, DEREGIONAL 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)...
PNCI - Central Review Principal
PNC
- Cleveland, OH6 licensed representatives meets PNCI Compliance and governing body regulations and ... industry, to include knowledge of compliance regulations, investment market, securities...
Head of Compliance Delivery & Execution Team - Director
Barclays
- New York, NYtwelve distinct functions: * Employee Compliance * Control Group * Compliance Risk ... Change Oversight *Compliance Policy * Compliance Learning Group * Global Functions...
Trust Investment and Registered Investment Adviser Senior Counsel
BMO
- Chicago, ILclosely with the bank and RIA firms, chief compliance officers, and risk management ... of the Investment Advisers Act of 1940 and FINRA rules is required. Candidates with...
Senior Compliance Officer-Trading Products
BMO
- Chicago, ILMandate Senior US Compliance Officer responsible for implementing the U.S Monitoring & ... for development and maintenance of Compliance Monitoring &Testing oversight...
Investment Services Financial Advisor
Homestreet Bank
- Glendora, CAof Financial Industry Regulatory Authority \(FINRA\), the Federal Deposit Insurance ... veteran status\. In addition, we ensure compliance with federal, state and local laws...
Compliance Associate
Cleveland Research Company
- Cleveland, OHfor the firm by assisting the Chief Compliance Officer in identifying and ... compliance reporting requirements Review FINRA notices and relevant industry news,...
Marketplace Lending Risk Officer
Prestigious Investment Banking Group
- New York City, NYdaily funding/purchase activity to ensure compliance with established credit or market ... mandates, and regulations of the following: FINRA, Federal Housing Finance Agency,...
Chief Compliance Officer - Retirement Products
Compliance Search Group
- Springfield, MAChief Compliance Officer- Retirement Products A Financial services firm seeks a Chief ... ranging from staff levels to Chief Compliance Officers with the nation's...
Compliance Consultant
Compliance Search Group
- Dallas, TXCompliance Consultant Description: A Global advisory firm seeks a Compliance Consultant ... for compliance with the various state, FINRA, and federal securities rules and...
Transfer Agency Anti Money Laundering
Compliance Search Group
- Chicago, IL• Work with Compliance to support annual compliance meeting Qualifications • 4-6 ... in TA Risk & ComplianceSpecialist role • FINRA Series 6, 23, and 63 Registrations...
Risk, Compliance Anti - Money Laundering Specialist
Compliance Search Group
- Chicago, ILRisk, Compliance Anti- Money Laundering Specialist A Financial services firm seeks a Risk ... ranging from staff levels to Chief Compliance Officers with the nation's...
US Macro Advisory Compliance - Director
Barclays
- New York City, NYThe US Macro Compliance Advisory Team currently consists of a manager and four Compliance ... by theCompliance teams e.g.: Compliance Verification. Check work, surveillance...
Futures and Derivatives Compliance Officer
Interactive Brokers
- Washington, DCquality talent. The Futures and Derivatives Compliance Officer position requires ... or appropriately registeredcompliance officer (i.e., at least a Series 3...
New Accounts Specialist
Interactive Brokers
- Chicago, ILservice focus. Assist the Compliance Officer with the approval process of new ... (SQL) is helpful Registrations:FINRA Series 7, 55, 63 a plus Attributes:...
Chief Compliance Officer-Corporate Areas
BMO Financial Group
- Chicago, ILThe Chief Compliance Officer, U.S. Corporate Areas oversees compliance activities in U.S. ... management or Business Unit Compliance Officer (BUCO). Continuously evaluate established...
Chief Compliance Officer-Corporate Areas
BMO Harris Bank
- Chicago, ILThe Chief Compliance Officer, U.S. Corporate Areas oversees compliance activities in U.S. ... management or Business Unit Compliance Officer (BUCO). Continuously evaluate established...
Complex Risk Officer
Morgan Stanley - Finance Industry
- Washington, DCComplex Risk Officer, the Complex Risk Officer has accountability for maintaining a ... to risk and compliance • Together with the Senior Complex Risk Officer, facilitates the...
Corporate Compliance Private Funds Compliance Officer Vice President
JPMorgan - Finance Industry
- New York City, NYPrivate Funds Compliance-Executive Director/Vice President JPMorgan Chase & Co ... to fill a position as a Private Funds Compliance Officer in JPMorgan Asset Management...
Private Banking Wealth Management Lawyer
NEWMultinational Financial Services Holding Company
- New York City, NYwill be responsible for providing legal counsel and advice to the business on the ... the Attorney will advise on various broker-dealer related matters for trading desks and...
Assistant General Counsel- Municipal Securities
NEWMajor International Bank
- New York City, NYThe General Counsel's Office (GCO) of Citi's Institutional Client Group is seeking an ... Experience with municipal finance, broker-dealer regulation and derivatives a plus.
Municipal Securities/Capital Markets Attorney
NEWUBS Financial Services
- Weehawken, NJsecurities/capital markets lawyer to counsel the municipal retail sales, ... skills experience working with broker-dealer compliance departments and have some...
Sr Counsel
NEWING Financial Services
- New York, NY5-year basis2 * Atop-tierindependent broker-dealer network in the U.S.3 * ... are the job responsibilities? The Senior Counsel, M&A and Corporate Transactions will...
Senior Counsel
NEWSVB
- Californiaproducts issues * Managing outside counsel Skills and Requirements: * 6-12+ ... The company also offers funds management, broker-dealer transactions and asset...
Compliance Examiner - Member Regulation, Membership Application Program
NEWFinra
- New York, NYmembership applications, risk areas of broker-dealers and allegations of wrong-doing ... written and oral reports to broker-dealer executives, consultants/ counsel and...
Securities Financing Attorney - Legal, PB
NEWGoldman Sachs
- New York City, NYlegal team. Relevant experience in broker-dealer regulation and securities financing ... • Substantive knowledge of securities regulation (including broker-dealer regulation) and...
Counsel - Investment Adviser's Act
Ameriprise 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...
Associate General Counsel (Bank)
Scottrade
- St Louis, MOScottrade, Inc. has a Associate General Counsel (Bank)position available inSt. Louis, ... credible within the organization and in the broker-dealer community. * Excellent...
Municipal Securities/Capital Markets Attorney
UBS
- Weehawken, NJsecurities/capital markets lawyer to counsel the municipal retail sales, ... writing skills * experience working withbroker-dealer compliance departments and have...
Corporate Counsel
MetLife
- New Jerseyand FINRA's institutional broker dealer rules. Responsibilities include the ... and FINRA's institutional brokerdealer rules. Able to work proactively and...
Senior level real estate attorney
Oi Partners - Gateway International
- Morristown, NJpractice areas it provides exceptional legal counsel that reflects extensive expertise, ... position will address client needs in broker-dealer, commercial, and individual private...
Corporate Counsel
Loyal3
- San Francisco, CAdepartment, including advice on broker-dealer regulations and development of corporate ... Research corporate, securities and broker-dealer laws and regulations, and other...
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...
VP, Compliance - Technology and Operations
Asian American Lawyers Association of Massachusetts (aalam)
- Charlotte, NCthe nation's largest independent broker/dealer and fourth largest broker/dealer with ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Deputy Regional Chief Counsel, Enforcement
Financial Industry Regulatory Authority
- San Francisco, CAresponsibility with Regional Chief Counsel working with Member Regulation ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Associate General Counsel (Securities/Regulatory)
Scottrade
- St Louis, MOissues to Scottrade, Inc., a broker-dealer, and Scottrade Investment Management, ... by Scottrade, Inc., the firm'sbroker-dealer, and Scottrade Investment Management,...
Legal, PB and Securities Financing Attorney, Vice President
Goldman Sachs Group
- New York City, NYlegal team. Relevant experience in broker-dealer regulation and securities financing ... • Substantive knowledge of securities regulation (including broker-dealer regulation) and...
Paralegal, Office of Liaison & Counsel
Financial Industry Regulatory Authority (finra)
- Washington, DCand staff in the Oversight Liaison & Counsel (OLC) and International groups. ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...
Associate General Counsel (Securities/Regulatory)
Leading Financial Services Company
- St Louis, MOservices offered, Inc., the firm's broker-dealer, and Investment Management, the ... Minimum of ten years of experience in investment adviser and broker-dealer regulatory prac...
Associate General Counsel (Bank)
Leading Financial Services Company
- St Louis, MOlaws and regulations. Provide legal counsel to Scottrade Bank lending functions ... credible within the organization and in the broker-dealer community. Excellent...
VP Corporate Counsel - Prior Experience Required
Complistaff
- Newark, NJinsurance and variable annuities; broker dealer counsel including FINRA rules, ... of FINRA rules, insurance laws governing broker dealers as well as life insurance...
Senior Counsel - Prior Experience Required
Complistaff
- Lake Mary, FLfor substantive role in its Broker Dealer business. The successful candidate ... & regulatory matters for US & non US broker dealer. Negotiate & draft distribution...
Managing Director / Deputy General Counsel
New York City, NYbroker-dealers or FCMs, exchanges or clearinghouses. • Strong analytical, ... of broker, dealers, custodian banks and asset managers worldwide. Our Client is able to...
Enforcement Counsel
Finra
- New York City, NYindividual for our Enforcement Counsel opening in New York, NY . To be ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...