EMPLOYMENT TUESDAY at BrokeAndBroker.com
June 2, 2015
Associate Financial Consultant - Greater DC Area
NEWCharles Schwab Corporation
- Columbia, MDDescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Sr. Team Manager, Operations - Asset Transfer Services
NEWCharles Schwab Corporation
- Lone Tree, CODescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
New Accounts Operations Team Manager
NEWCharles Schwab Corporation
- Orlando, FLDescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Associate Financial Consulant
NEWCharles Schwab Corporation
- Nashville, TNDescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Restricted Stock Specialist
NEWCharles Schwab Corporation
- Lone Tree, CODescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Fixed Income - Centralized Supervision Manager(0601-23798)
NEWCharles Schwab Corporation
- Indianapolis, INLone Tree - CO, DENR1, 9875 Schwab Way, 80124 Don Carlos Collins We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...
Senior Manager Broker-Dealer Regulatory Reporting(20150528-1972)
NEWCharles Schwab Corporation
- Lone Tree, COLone Tree - CO, DENR1, 9875 Schwab Way, 80124 Kelly Crane We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...
VP, Advisory Custody & Trading(20150512-1707)
NEWCharles Schwab Corporation
- Lone Tree, COLone Tree - CO, DENR2, 9825 Schwab Way, 80124 Lee Ann Leonhart We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...
Account Solutions, Sr Specialist
NEWCharles Schwab Corporation
- El Paso, TXDescription: **We 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...
Client Specialist-Financial Planning
NEWCharles Schwab Corporation
- Lone Tree, CODescription: **We 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...
Senior Team Manager, Trust Services
NEWCharles Schwab Corporation
- Lone Tree, CODescription:Lone Tree \- CO, DENR2, 9825 Schwab Way, 80124 Leslie Rachelle Nichols **We believe that** , when done right, investing liberates people to create their own destiny\.
Sr. Complex Account Specialist
NEWCharles Schwab Corporation
- Lone Tree, CODescription: **We 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...
Operations Senior Team Manager
NEWCharles Schwab Corporation
- Lone Tree, CODescription:Lone Tree \- CO, DENR2, 9825 Schwab Way, 80124 Kendall Smelser **We believe that** , when done right, investing liberates people to create their own destiny\. **We are...
Associate Financial Consultant - Orlando (Maitland)
NEWCharles Schwab Corporation
- Orlando, FLDescription: **We 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...
VP, Advisotry Custody & Trading
NEWCharles Schwab Corporation
- Lone Tree, CODescription: **We 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...
Vice President, Financial Consultant - Northbrook, IL(20150522-1887)
NEWCharles Schwab Corporation
- Northbrook, ILNorthbrook - IL, BRILNR, 445 Skokie Blvd, 60062-2808 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny. We are driven by...
Trust Associate(0531-23774)
NEWCharles Schwab Corporation
- Lone Tree, COLone Tree - CO, DENR2, 9825 Schwab Way, 80124 Leslie Rachelle Nichols We believe that, when done right, investing liberates people to create their own destiny. We are driven by...
Internal Sales Representative - Charles Schwab Investment Ma
NEWCharles Schwab Corporation
- Lone Tree, CODescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Portfolio Consultant - Schwab Private Client, Lone Tree (CS)
NEWCharles Schwab Corporation
- Lone Tree, CODescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Associate Financial Consultant - Greater DC Area
NEWCharles Schwab Corporation
- Alexandria, VADescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Associate Financial Consultant
NEWCharles Schwab Corporation
- Menlo Park, CADescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Associate Financial Consultant- Oakland, CA (Sourcing Req)
NEWCharles Schwab Corporation
- Oakland, CADescription: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every clients goals with...
Vice President, Financial Consultant - Vero Beach, FL(20150522-1892)
NEWCharles Schwab Corporation
- Vero Beach, FLVero Beach - FL, BRFLVO, 3485 Ocean Dr, 32963-1667 Christine S. Lane We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...
Senior Team Manager, Trust Services(0528-23749)
NEWCharles Schwab Corporation
- Lone Tree, COLone Tree - CO, DENR2, 9825 Schwab Way, 80124 Leslie Rachelle Nichols We believe that, when done right, investing liberates people to create their own destiny. We are driven by...
Client Service Specialist - Barrington, IL(20150522-1886)
NEWCharles Schwab Corporation
- Barrington, ILBarrington - IL, BRILBY, 100 W Main Street, 60010-3010 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny. We are driven...
Anticipated Private Client Advisor - Chase Private Client
NEWJPMorgan Chase
- Beachwood, 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...
Anticipated Financial Advisor Associate - Chase Wealth Management
NEWJPMorgan Chase
- Manhattan Beach, 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...
Chase Private Client Service Associate
NEWJPMorgan Chase
- Dallas, TXChase 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...
Chase Private Client Investment Associate
NEWJPMorgan Chase
- Tucson, AZChase 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...
Chase Private Client Investment Associate (Investment Assistant)
NEWJPMorgan Chase
- Miami, FLChase 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...
CIB Operations - Broker Dealer Merger - Program Manager - Executive Director
NEWJPMorgan Chase
- Brooklyn, NYHead of a program to merger J.P. Morgan Securities LLC. And J.P. Morgan Clearing Corp. two broker dealer entities supporting businesses across JP Morgan Chase & Co. and head of...
Asset Management Latin America Private Bank Client Service Associate, New York (Portuguese Fluency Required)
NEWJPMorgan Chase
- New York City, NYAbout JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include...
Corporate Compliance - Branch Exams - Associate
JPMorgan Chase
- Houston, TXJPMorgan 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 - Milwaukee Metro Area
JPMorgan Chase
- Brookfield, WIFinancial 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
- Madison, WIFinancial 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 - Downtown Chicago Area
JPMorgan Chase
- Chicago, ILFinancial 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 - Frisco/Plano Area
JPMorgan Chase
- Plano, 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...
Asset Management GWM Operations Quality Control Analyst
JPMorgan Chase
- Newark, DEOur Business J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include institutions,...
Financial Advisor - Chase Wealth Management -Sugar Land, Texas Area
JPMorgan Chase
- Sugar Land, 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 - Chase Wealth Management -Odessa, Texas Area
JPMorgan Chase
- Odessa, 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...
Private Client Advisor - Chase Wealth Management - Houston, Texas Area
JPMorgan Chase
- Houston, 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...
Corporate Compliance - AML Surveillance - Vice President
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...
Corporate Compliance - AML Surveillance - Associate
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...
Corporate Compliance - Surveillance Analyst - Fixed Income and Swaps Trade Surveillance - Associate
JPMorgan Chase
- Jersey City, NJJPMorgan 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...
Corporate Compliance - Fixed Income Compliance - Vice President
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...
CIB F&BM- SPG Controller- External Reporting - LEC - Senior Associate
JPMorgan Chase
- New York City, NYAbout J.P. Morgan Corporate & Investment Bank J.P. Morgan's Corporate & Investment Bank is a global leader across banking, markets and investor services. The world's most...
In-Store Personal Banker - Sierra Vista Fry's
JPMorgan Chase
- Sierra Vista, AZPlay a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...
Chase Private Client - Private Client Advisor - Springboro, OH (Springboro)
JPMorgan Chase
- Springboro, OHBusiness 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...
Anticipated Chase Private Client - Private Client Advisor - Surfside
JPMorgan Chase
- Aventura, FLBusiness Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of...
Asset Management Latin America Private Bank Client Service Associate
JPMorgan Chase
- New York City, NY{PS..0} About JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients...
Financial Advisor
NEWEquity Bank
- Warrensburg, MOFinancial Advisors Equity Financial Services Group (EFSG), a subsidiary of Equity Bank, is currently seeking a qualified Financial Advisor (FA) to join our rapidly expanding team...
Financial Advisor
NEWBMO
- 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
NEWFirst Command Financial Services
- Hagåtña, GUFirst Command Financial Services is committed to helping military families get their financial lives squared away and pursue their goals and dreams through coaching and guidance...
Financial Advisor
NEWNortheast Planning Associates
- Waltham, MAJob Description:Financial Advisor: We have an opportunity for a Financial Advisor who wants to be part of a growing firm.Initial Key Areas of Responsibility:With a strong focus on...
Financial Advisor
NEWAIG Financial Advisors
- Salt Lake City, UTPosition 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
NEWDo you have what it takes to make six figures? AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies,...
Financial Advisor
Kendal Capital Insurance
- Maitland, FLInsurance and Wealth Management firm seeking individuals looking for a career in the financial services industry. The position consists of a 90 day, 20 hour a week internship.
Financial Advisor
Hancock Bank
- East Baton Rouge Parish, LAJOB SUMMARY: Consults with clients and prospects to determine course(s) of action designed to help meet their financial and investment goals. ESSENTIAL DUTIES & RESPONSIBILITIES:...
Financial Advisor
American International Group
- Fairbanks, AKPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Compliance Consultant I PCG
NEWRaymond James
- Tampa, FLwith Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and ... & Compliance* **Organization:** **RJFS Compliance* **Title:** *Compliance Consultant...
Compliance Analyst - Broker/Dealer
NEWInfinity Consulting Solutions
- New York City, NYThe Compliance Analyst Broker/Dealer will help evaluate the adequacy and effectiveness of ... Compliance OfficerThe Compliance Analyst Broker/Dealer will perform general compliance...
Compliance Officer
NEWInteractive Brokers
- Greenwich, CTBrokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures ... for high quality talent. TheCompliance Officer position requires familiarity with...
Futures and Derivatives Compliance Officer
NEWInteractive Brokers
- Washington, DCBrokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures ... The Futures and DerivativesCompliance Officer position requires familiarity with...
Compliance Assistant
NEWInteractive Brokers
- Greenwich, CTand commodities business leader and broker-dealer (BD) / futures commission ... storage Reporting to ChiefCompliance Officer and In-house Counsel 2 years...
VP Cluster Branch Manager
NEWHSBC
- Bohemia, NYto maximized economic profit. Role as broker-dealer Registered Representative ... Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring...
VP Premier Relationship Manager
NEWHSBC
- San Gabriel, CACompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...
Officer, Compliance AML Analyst
NEWMichael Page USA
- Boston, MAin the banking, financial services, broker dealer or other related industry ... Laundering, Compliance, FIU, Corporate Compliance, Compliance Analyst, Financial...
Wealth Management BSA Analyst - Temp
NEWMercantil Commercebank
- Coral Gables, FLactivity to the Wealth Management BSA/AML Compliance Officer. Understand complex ... Coordinate with the Wealth Management BSA/AML Compliance Officer, Account Officers, Regist...
Wealth Management BSA Analyst II
NEWMercantil Commercebank
- Coral Gables, FLactivity to the Wealth Management BSA/AML Compliance Officer. Understand complex ... Coordinate with the Wealth Management BSA/AML Compliance Officer, Account Officers, Regist...
Compliance Officer for C&ORC Testing
NEWPrivate Wealth & Asset Management Firm
- Nashville, TNcompliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential ... (Compliance Review Team) under the Global Compliance and Operational Risk Control (C&ORC)...
SVP Recruiting and Acquistion Strategy
NEWAIG
- Atlanta, NYand drive traffic to the Advisor Group Broker Dealers. Position will partner with ... EVP of Recruiting Strategy and respective Broker Dealer Presidents to identify,...
ISO
NEWPerennial Resources International
- New York, NYwould like a candidate to have either broker dealer experience or financial experience. ... NIST, Scripting, Linux, Security, Broker-Dealer, Broker Dealer, Financial,...
Chief Compliance Officer
NEWLaSalle Investment Management
- Chicago, ILbusiness in the Americas, compliance officer of LaSalle Investment Management's ... with investment advisory and broker-dealer clients Provide legal review of and...
Manager, Product Delivery
NEWBroadridge
- Needham, MAand technology-driven solutions for broker-dealers, banks, mutual funds, and ... our clients meet their regulatorycompliance needs. In addition, we provide financial...
Project Manager
NEWPhiladelphia, PAin the development of project budgets in compliance with the companys financial ... following in the Financial Services Industry/Broker Dealers OR FINANCIAL ADVISORS:...
Manager, Compliance
NEWLeading Provider of Insurance, Investments, and Retirement Products
- Saint Petersburg, FLOversee and prepare responses to regulatory examinations of the Broker/Dealer ... Oversee corporate audits and internal audits of the Broker/Dealer...
Compliance Officer - AML Advisory CGMI Retail Broker Dealer
NEWMajor International Bank
- Jersey City, NJand activities in support of the Retail Broker-Dealer. Key responsibilities: Review ... client due diligence Liaise with the Retail Broker-Dealer Business, Relationship...
AVP Premier Relationship Manager
NEWHSBC - Finance Industry
- Depew, NYCompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Officer, Area ComplianceOfficer or Local Compliance Officer. The term...
Advisory Services Manager - Financial Services Office - Technology Solutions Delivery - Reg.Compliance
NEWErnst Young
- New York City, NYcompliance functions specific to banking, broker-dealer, wealth management, and asset ... Mobile Enterprise Governance, Risk and Compliance Compliance analytics, metrics,...
RIA Compliance Officer
NEWProtective Life
- Birmingham, ALJob Description: Title: Investment Advisory/Retail Compliance Officer ProEquities has an i ... The Investment Advisory/Retail Compliance Officer will assist the Investment Advisory Chie...
Compliance Manager
NEWEastridge Workforce Solutions
- Newport Beach, CAsupport to Chief Compliance Officer, AVP of Compliance and Director of Compliance on ... years of experience in a RIA or Broker Dealer, preferredWorking knowledge of...
Compliance Risk Manager - Testing / Audit
NEWBB&T
- Winston Salem, NCother compliance concerns. Perform as a key officer within the compliance organization, ... for compliance risks. 7. Evaluate emerging compliance risks using a proactive approach...
Senior Compliance Consultant
NEWT. Rowe Price Group
- Owings Mills, MDof each office of the broker/dealer - including securities transactions, ... Works in conjunction with the CCO of the broker/dealer in inspecting offices and reporting...
Financial AML/BSA Compliance Officer
NEWFull Range Financial Services For Capital Markets
- Memphis, TNand Corporate BSA Compliance Requirements •Bachelors Degree in Accounting, Finance ... with a broker dealer•Minimum 5 years experience in a directly related field...
Policy & Procedure Compliance Officer
NEWAmerican Bank Holding Company
- Atlanta, GAmanagement, partnering with Corporate Compliance, assisting during regulatory ... particularly broker-dealerpolicies and procedures. Bank broker-dealer experience.
Senior Vice President, Chief Administrative Officer
NEWAccomplished International Insurance and Financial Services Organization
- Atlanta, GAin the independent broker/dealer space a plus. • Required active FINRA registrations ... various compliance and risk business units within company to ensure consistent controls...
Compliance/Legal Assistant Support
NEWCapital Markets Compliance
- Atlanta, GAthe financial services industry including broker-dealers and investment advisers. ... and/or registration experience for broker dealers and/or investment advisers...
SVP, Chief Administrative Officer, AIG Advisor Group
NEWAIG
- York, GAinteractions/negotiations with selected broker(s); ultimately responsible for E&O Profit ... experience in the independent broker/dealer space a plus. * Required active FINRA...
Project Manager-PMO
TEKsystems
- Philadelphia, PAin the development of project budgets in compliance with the company's financial ... following in the Financial Services Industry/Broker Dealers OR FINANCIAL ADVISORS: ?...
Director - Compliance
Ameriprise Financial
- Boston, MAa team of Compliance Officers performing compliance/advertising review of marketing ... compliance/advertising review for Broker/Dealer and/or Registered Investment Adviser...
AVP Premier Relationship Manager
HSBC
- Depew, NYCompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...
Compliance Senior Risk Officer - Testing
BB&T Bank
- Winston-Salem, NCsamples, sampling procedures, assessing compliance controls, evaluating compliance ... lending, deposits,broker/dealer, anti-money BB&T is an Equal Opportunity Employer and con...
Market Risk Quantitative Manager
Diversified Financial Services Firm Focusing On Investment Banking and Financial Planning
- Tampa, FLas assigned by the Chief Risk Officer. Qualifications Knowledge, Skills, ... from the perspective of banks as well asbroker/dealers. Financial markets, with...
Corporate Counsel
Computershare
- Louisville, KYdisputes. * Provide advice and counsel to compliance officers, including supporting ... * Experience supporting abroker/dealer, exposure to federal securities laws and FINRA rul...
Chief Compliance Officer - Broker/Dealer - Start-up
Selby Jennings
- New York City, NYI was just released a role with a Broker/Dealer that is looking to bring on a Chief Compli ... be responsible for a FINRA registered Broker Dealer as well as an SEC registered...
Director AML Compliance/Deputy AML Compliance Officer
Charles Schwab Corporation
- Lone Tree, COStrategy and Monitoring/AML Compliance Officer, the Director will: Serve as a Deputy ... EDD requirements specific to a broker\-dealer environment, including AML rules...
Sr. Compliance Officer- Broker Dealer (consultant)
Mla Global
- Essex County, NJcandidate will serve as Compliance Officer for the regulated broker-dealer ... and monitoring regulatory and legalcompliance for Broker-Dealer activity.
Compliance Director
Compliance Search Group
- New York City, NYas well broker-dealer (FINRA, SEC), and Swap Dealer (CFTC). • In depth ... of Compliance professionals ranging from staff levels to Chief Compliance Officers...
Compliance/Sales Supervisor Broker Dealer - Prior Experience Required
Adams Consulting Group
- New York, NYCompliance/Sales Supervisor - Broker Dealer A New York branch office based broker dealer f ... of complianceexperience within a Broker Dealer environment Knowledge of FINRA and...
MBSC Chief Compliance Officer - Compliance Manager II
BNY Mellon
- New York City, NYCompliance Manager for BNY Mellon and Chief Compliance Officer for a SEC-registered ... adviser and thebroker/dealer have adequate compliance coverage. Responsibilities...
Assistant General Counsel- Securities
Bankers Conseco Life Insurance Company
- Chicago, IL• Provide legal counsel in the development of broker/ dealer and registered investment adv ... requirements that affect the broker-dealer and investment advisor programs. Advise...
Assistant General Counsel- Securities
Cno Financial Group
- Chicago, IL• Provide legal counsel in the development of broker/ dealer and registered investment adv ... requirements that affect the broker-dealer and investment advisor programs. Advise...
Compliance Analyst
John Hancock
- Boston, MAThe Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... Job Summary: Reporting to the Chief Compliance Officer of JHD/ JHF and coordinating with t...
Compliance Analyst
Jackson National Life Insurance Company
- Denver, COThe Compliance Analyst will report to the Chief Compliance Officer ... associates, regulatory agencies and Broker-Dealers Assist in the monitoring and...
Compliance Analyst
Manufacturers Life Insurance Company
- Boston, MAThe Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... Job Summary: Reporting to the Chief Compliance Officer of JHD/ JHF and coordinating with t...
Compliance Consultant
Manufacturers Life Insurance Company
- Boston, MAReporting to the Chief Compliance Officer of JHD/ JHF the Compliance Consultant is respons ... DivisionCompliance. Oversight of the broker dealer's electronic communications...
Risk Officer
Wells Fargo
- St Louis, MOAs the Risk Officer you will have the primary responsibility for: · Remote compliance supe ... · Demonstrated experience working in compliance, sales supervision or retail brokerage...
Junior Compliance Officer
Related
- New York, NYare met as well as the Firm's broker-dealer compliance program. Primary ... of the EB-5 broker-dealer program including suitability reviews of customer...
Compliance Testing Analyst/Compliance Analyst
T. Rowe Price Group
- Owings Mills, MDChief Compliance Officer of the broker/dealer and FWC Compliance Consultants in inspecting ... Travel, while not extensive, will be required to offices of the broker/dealer...
Assistant General Counsel- Dispute Advisory Group Manager
NEWMajor International Bank
- O'fallon, MOall aspects of the handling of retail broker-dealer/RIA and insurance agency ... to those managing regulatory exams of the broker-dealer and insurance agency, oversee...
Corporate Attorney--Fund Formation
NEWSlj
- New York City, NYas well as to investment advisers and broker-dealers by providing the following ... agreements -Compliance rules and regulations of SEC, FINRA and other regulatory...
Interactive Brokers
- Washington, DCoffice. Assisting the firm's General Counsel in handling various litigation-related ... counsel) Coordinating with outside counsel on court actions involving the firm...
Paralegal - Litigation/Regulatory
NEWInteractive Brokers
- Washington, DCin-house counsel with the preparation of legal documents, maintain case files and provide ... and assistance to IB in-house counsel in FINRA, CFTC and NFA arbitrations and legal...
Municipal Securities/Capital Markets Attorney
NEWPrivate Wealth & Asset Management Firm
- Weehawken, NJsecurities/capital markets lawyer to counsel the municipal retail sales, ... • experience with MSRB and applicableFINRA regulations, as well as SEC rules,...
Ameriprise Financial
- Minneapolis, MNMinnesota or eligible for admission as house counsel. Preferred ... industry committees (such as SIFMA, NASAA,FINRA or others);License(s) RequiredNoneAbout...
Regulatory Policy Specialist, Office of General Counsel
NEWFinra
- Washington, DCAbout FINRA FINRA is an independent, non-governmental regulator for all securities ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an...
Sales Assistant - Principal Connection - #218343
NEWPrincipal Financial Group
- Des Moines, IAof financial products is required. * Active FINRA Series 6 is preferred. If you do not ... of the nature of the duties of this position, a FINRA licensing check may also be...
Associate Financial Consultant - Greater DC Area
NEWCharles Schwab Corporation
- Alexandria, VAresponsible for providing advice and counsel to individuals and families with ... Certified Financial Planner \- CFP, FINRA Series 66, FINRA Series 7 Relevant Work...
Assistant General Counsel- Dispute Advisory Group Manager
NEWMajor International Bank
- O'fallon, MOand law enforcement agencies (i.e., FINRA, SEC, OCC, BBB, state regulators, ... years of management experience of a team of legal professionals preferred. It also...
Legal Counsel
NEWLeading Mutual Fund and Financial Services Group
- Merrimack, NHand meeting minutes. You will provide legal support for shareholder meeting ... productive relationships with the broader legal staff and business executives. A strong...
Assoc General Counsel
NEWFortune 100 Financial Services Company
- Charlotte, NCentities distributing insurance products (broker dealers, trust company). · Provide legal ... Qualifications · Lawdegree and at least 5 years' experience as counsel in a law firm supp...