- Fulton Bank (Bethlehem, PA)
- …63 (or Series 66). (Required) Must be able to be affiliated with our Broker Dealer . (Required) Knowledge, Skills, and Abilities Knowledge of investment industry ... client transactions, such as trades, deposits, and withdrawals, while ensuring compliance with regulatory requirements. Solicits and receives orders for the… more
- Hilltop Holdings (Dallas, TX)
- …returns, and meet investing objectives. As one of the nation's largest licensed broker - dealer clearing firms, we are focused on building long-term client ... Job Description Hilltop Securities is looking to hire an Associate Financial Consultant in Dallas, Texas. The Associate Financial Consultant is responsible for… more
- 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
- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... Reporting directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset… more
- Oriental Bank (San Juan, PR)
- …years of experience as a Broker Assistant or Administrative Assistant in a Broker Dealer required. Experience in banking or in the insurance industry and/or ... The Associate , Oriental Insurance ( Broker Support) receive,...+ Review and analyze the documents for completeness and compliance with Oriental Insurance policies and procedures, federal and… more
- Capital One (Mclean, VA)
- Compliance Tester III, Principal Associate Capital One...in a compliance department for an institutional broker dealer or a swap dealer , ... and a great place to work. Job Description: The Compliance Tester III (Principal Associate ) performs a...in a compliance department for an institutional broker dealer or swap dealer … 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
- Citigroup (Tampa, FL)
- …day-to-day processes of intake/assignment/close out of investment complaints for a retail broker dealer /RIA and insurance agency business; coordination of the ... of intake/close out of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This position requires a working… more
- SMBC (Jersey City, NJ)
- …Group's wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; ... benefits to its employees. **Role Description** SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of SMBC's … 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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …investment structures, offering terms, trading and operations, along with legal and compliance programs. The Senior Associate retains latitude for unreviewed ... **Job Summary:** Under very limited supervision, the Senior Associate of Alternative Investment Operational Due Diligence utilizes...five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or… more
- BlackRock (Boston, MA)
- …and promote regulatory expertise and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker - dealer , mutual fund, or ETF ... **About this role** ** Associate , Global Product Solutions ETF Regulatory Marketing Review**...Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory… 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
