- 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… 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 ... Compliance, IT Risk and Training committees. The Compliance Advisory Associate role assists in managing coverage areas or processes...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- PNC (Pittsburgh, PA)
- …and have an opportunity to contribute to the company's success. As an Accounting Associate Senior within PNC's Capital Markets Finance organization, you will be ... based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business for C&IB… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer...Associate will work closely with the team and senior stakeholders across Risk, Compliance, Legal, Operations, and Front… more
- Kestra Financial (San Antonio, TX)
- Mission Financial Planners, LLC is seeking a Senior Client Service Associate who will play a pivotal role in driving the firm's growth and operational ... highly organized, detail-oriented, and committed to delivering exceptional client service. The Senior Client Service Associate reports directly to the Financial… more
- JPMorgan Chase (Jersey City, NJ)
- …role in enhancing our organization's governance and operational excellence! As a Senior Internal Audit Associate on the Commercial and Investment Banking ... in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes… more
- Ankura (Chicago, IL)
- …significant portion of all licensed US money transmitters. We are seeking a Senior Associate , Licensing Acquisition, to join the team. Ideally this role ... commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered… more
- Ankura (New York, NY)
- …requirements and will keep clients abreast of regulatory changes. We are seeking a Senior Associate , License Maintenance, to join the team. Ideally this role ... commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered… more
- JPMorgan Chase (Columbus, OH)
- …status quo and striving to be best-in-class. Job Summary As a Compliance Risk Management Senior Officer - Associate in Risk Management and Compliance, you are at ... standards. Job Responsibilities + Perform on-site and remote compliance examinations of broker - dealer and investment advisory businesses to ensure adherence to… more
- Kestra Financial (Palo Alto, CA)
- …over the finish line and have a desire to learn, advance, and excel? The Senior Sales Associate reports to the Financial Advisor and is critical in meeting ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to:… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Supervisory + Responsibilities: None Knowledge,… more
- Citizens (Boston, MA)
- …the Citizens Consumer Bank. The Associate General Counsel will report to the Senior Associate General Counsel, Head of Wealth Legal and will be responsible ... aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services.… more
- T. Rowe Price (Owings Mills, MD)
- …an expert level of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong analytical skills with attention ... to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is...making and negotiation skills + Demonstrated ability to influence senior leadership and peers + Demonstrated ability to prioritize… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the department for years to come. Understanding of the regulatory agencies that oversee Broker - Dealer and RIA firms will be essential in understanding how the ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Manulife (Boston, MA)
- …for Manulife John Hancock's investment products. Channel specific coverage includes Broker - Dealer /Platforms and Turnkey Asset Management Programs (TAMPs). ... We are looking for an Associate Director, Platform Distribution who will be responsible...institutional investors. + Maintain responsibility for business channel knowledge ( Broker - Dealer /Platforms, TAMPs, and the Bank Trust channel),… more
- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Knowledge, Skills, and/or Abilities + Advanced… more
- M&T Bank (Orange, CA)
- …and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the documents, enter ... **Overview:** Coordinates workflow among Sales, Operations, Credit, and senior management within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy… more
- Columbia Bank (Los Angeles, CA)
- …+ Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for assigned job function as applied to designated ... Senior Wealth Advisor Wealth Management Irvine, California Sacramento,...a 401(k)-retirement savings plan with employer match for qualifying associate contributions, an employee assistance program, life insurance, disability… more