- JPMorgan Chase (New York, NY)
- …individual to join its Equities Practice Group within the Corporate & Investment Bank as a Broker - Dealer & Cash Equities Attorney. As a Broker - Dealer & ... Cash Equities Attorney within the Broker - Dealer & Cash Equities Legal group , you will...You will report directly to the Head of the Broker - Dealer & Cash Equities Legal group. The… more
- BMO Financial Group (New York, NY)
- …BMO Capital Markets Compliance team is hiring for a CCO of it's two US broker - dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool ... Execution Services, LLC (CES). The broker - dealer CCO would manage the implementation, maintenance and administration of the broker - dealer compliance… more
- Capital One (Mclean, VA)
- Manager, Broker Dealer Accounting Does the idea of working with professional, highly trained accountants inspire you? Are you an accounting professional with a ... highly motivated Accounting Manager to support Capital One Securities, a broker dealer registered with the Financial Industry Regulatory Authority (FINRA) and… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A well-established ... financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal department. This… more
- Broadridge Financial Solutions (Edgewood, NY)
- …team. The role of this position is to ensure proper handling for all assigned Broker Dealer clients and manage all communications with same. Details include, but ... and proactively. + Help to foster strong relationships with our Broker Dealer clients by coordinating and leading reoccurring calls and client meetings… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst 3 is responsible for supporting institutional broker dealer ... In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you… more
- Vanguard (Charlotte, NC)
- …a seasoned compliance professional to lead monitoring and testing for our broker - dealer 's Cash program, which includes banking-like features such as deposits, ... of the investment and financial services industry, with a focus on broker - dealer operations and banking-like features. Monitors regulatory developments and… more
- Vanguard (Scottsdale, AZ)
- Broker Dealer EDJ Hybrid Sales Executive Generates new relationships and broadens existing relationships with distributors, advisors, and other intermediaries in ... the Broker Dealer channel through predominantly electronic and telephone communication (75-80%) as well as some field sales activity (20-25%) for medium to high… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws and regulations and… more
- M&T Bank (Baltimore, MD)
- …of defense risk management responsibilities of the Investment Bank and Institutional Broker - Dealer in accordance with the Enterprise Risk Framework. Oversee the ... team on risk and control topics impacting the Institutional Broker - Dealer , Corporate Securities Underwriting, and Syndications/ Participations. **Primary… more
- Broadridge Financial Solutions (New York, NY)
- …career, while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member of ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Senior Privacy Specialist to join our Broker Dealer team in Principal Securities. In this role, you'll serve as ... information privacy consultant for our Benefits & Protection Principal Securities business segments, provide program management and business representation, oversee ongoing business activities related to the development, implementation, maintenance of, and… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... federal and state securities laws and regulations, including FINRA rules. + Knowledge of state insurance regulations. + Proficient in handling a large number of issues and competing priorities in a fast paced and rapidly evolving environment. + Ability to… more
- JPMorgan Chase (Columbus, OH)
- …JPMorgan Asset Management (JPMAM) helps institutional and individual clients from around the globe meet their financial goals by providing industry-leading investment ... solutions. Our wide array of financial strategies-equity, fixed income, cash management, currency, asset allocation, and alternative asset classes-allows investors to find strategies to help navigate dynamic markets. Our renowned value-added tools assist… more
- Marex (New York, NY)
- …+ Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval. + Ensure that appropriate CDD / KYC and AML ... checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures + Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies. + Data… more
- Guardian Life (Holmdel, NJ)
- …The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet, Orion and our new digital partner, are used to ... facilitate a strategy, from proposal through to account investing. This individual will be expected to fully understand our policies and procedures around all aspects of advisory operations. **You are** A consummate professional with excellent verbal and… more
- Marex (New York, NY)
- …Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US ... Broker Dealer related regulatory inquiries. + Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for… more
- JPMorgan Chase (Fort Worth, TX)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased penetration, including but not limited, to new advisor referrals, conference/meeting opportunities,… more
- Atria Wealth Solutions (Vancouver, WA)
- …with non-deposit investment and insurance products as registered and licensed by a third-party broker dealer under agreement with Columbia CU. + Using only the ... broker dealer 's approved product list, provide investment advice regarding securities and manage accounts or portfolios of member-investors with a fiduciary duty… more
- Atria Wealth Solutions (Dublin, CA)
- …to execute and measure the plans following the credit union and the broker dealer 's guidelines. Responsibilities + Develop each employee to their highest ... of all required Credit Union compliance training and those mandated by the broker - dealer . + Serve as a liaison between Patelco Financial Solutions and other… more