- SMBC (New York, NY)
- …advisory 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 , IT Risk and Training committees. The Compliance Advisory Associate role assists in managing...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- Robert Half Legal (San Diego, CA)
- …financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A… more
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- Robert Half Finance & Accounting (Houston, TX)
- …accuracy in all work. + Experience: A minimum of 5 years of experience in a compliance role at a securities broker - dealer or investment adviser. COST TO ... Description THE OPPORTUNITY We're seeking a Senior Compliance Associate with a robust background...with a deep understanding of the regulatory landscape for broker -dealers and investment advisers. HOW YOU WILL MAKE AN… more
- Foresters Financial Services (Westbury, NY)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Sales Support Associate Sales Westbury, New York Apply Description What...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... . Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24 registrations… more
- Kestra Financial (Raleigh, NC)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- Capital One (Mclean, VA)
- …testing for Commercial Banking (includes commercial lending, treasury management, institutional broker -dealers and CFTC swap dealer ), Corporate Functions (eg, ... Senior Director, Compliance Test Lead for Commercial Banking, Corporate Functions...Qualifications:** + Master's degree + 10+ years of US broker - dealer , swap dealer and/or financial… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our business worldwide. As a… more
- Kestra Financial (Kings Park, NY)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... Summary The Client Service Associate reports to the Financial Advisor and is...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and… more
- Kestra Financial (Knoxville, TN)
- …record keeping adheres to compliance standards * Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Client Service Associate is critical to appropriately leveraging Advisors' time,...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including… more
- Kestra Financial (Beaver, PA)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Client Service Associate reports to the Financial Advisor and is...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including… more
- US Bank (New York, NY)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... with regulatory authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience with relevant trade… more
- JPMorgan Chase (Columbus, OH)
- …+ Understand and drive control design that support unique regulatory environment for the broker - dealer subject to oversite by the bank and Retail Non-Deposit ... **Consumer & Community Bank - JPMorgan Wealth Management Control Associate (Job Code OCCO02, Job Grade 602)** JPMorgan Chase...part of a team to provide oversight to ensure compliance with policies and standards. This individual will be… more
- Santander US (Boston, MA)
- …understanding of applicable Federal and State laws applicable to SEC registered broker - dealer . * Strong analytical and investigative skills and demonstrated ... Associate , Investment Supervision Country: United States of America...timely closure of identified surveillance issues * Works with Compliance , Operations and other Santander functions closely to research… more
- Kestra Financial (San Antonio, TX)
- …years of experience in financial services, with a solid understanding of broker - dealer operations and investment products (equities, bonds, options, mutual ... Financial Planners, LLC is seeking a Senior Client Service Associate who will play a pivotal role in driving...handled accurately and in a timely manner, while maintaining compliance with industry regulations. + Build and strengthen client… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Wealth Associate position is a client service position who...manner while ensuring documentation and record keeping adheres to compliance standards. + Deepen client relationships and establish credibility… more
- Kestra Financial (Plano, TX)
- …record keeping adheres to compliance standards. * Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Client Service Associate reports to our Partners and Wealth Managers...in a professional environment. * High School Diploma or Associate 's degree required * Previous experience in financial services… more
- JPMorgan Chase (Evanston, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... investment solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will be tasked with delivering… more