- 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
- Regions Bank (Charlotte, NC)
- …Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit ... Insurance + Parental Leave + Employee Assistance Program + Associate Volunteer Program Please note, benefits and plans may...terminated with respect to all or any class of associate at any time. To learn more about Regions'… more
- JPMorgan Chase (Freehold, NJ)
- …to offer the best investment solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will provide ... and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are… more
- JPMorgan Chase (Fayetteville, NY)
- …to offer the best investment solutions to meet their financial needs. As a Private Wealth Associate in Chase Wealth Management, you will offer comprehensive ... and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are made… more
- JPMorgan Chase (Chicago, IL)
- …Client Advisors in multiple generalist channels including Wirehouse, RIA, Independent Broker - Dealer and Chase Wealth Management channels. These internal partners ... a PWA ICA within JPMorgan Asset Management, you will partner with an external Private Wealth Alternatives Client Advisor (PWA CA) to drive market share in JPMorgan… more
- Regions Bank (Nashville, TN)
- …+ A background as a paralegal, in a bank trust department, bookkeeper, broker - dealer back office, or RIA practice is desirable. _This position may ... Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit… more
- SMBC (New York, NY)
- …+ Support the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt Complex to assist in ... role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new… more
- Citizens (Johnston, RI)
- …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. ... 10+ years of legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal securities laws, including the… more
- Edward Jones (St. Louis, MO)
- …legal advice and guidance to legal, compliance, and business colleagues involving broker - dealer rules and regulations under the federal securities laws, ... clients. Familiarity with regulation from a perspective wealth management, including broker - dealer and investment adviser conduct rules and Regulation Best… more
- M&T Bank (Orange, CA)
- …accuracy and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the ... within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy of dealer records in various internal systems. Provides administrative support, including… more
- T. Rowe Price (San Francisco, CA)
- …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
- 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 ... more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy:… more
- Mizuho Corporate Bank (New York, NY)
- …risk capital calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III + Conduct quantitative ... Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas… more
- Nuveen Investments (MI)
- …for Nuveen's Alternative Strategies primarily within the Wealth Channels, including Wirehouses, Private Bank, Independent & Regional Broker - Dealer , RIA and ... marketing into private wealth channels (wire house, private banks, broker -dealers, RIAs) is preferred +...and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development… more
- Columbia Bank (Santa Rosa, CA)
- …+ Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for assigned job function as applied to designated ... team, which may include additional Wealth Advisors, Client Service Specialists, Private Bankers, and Wealth Strategists. We are part of a communitybank,and… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …Power BI. + Principles of banking, finance, accounting, budgeting, cost control, and broker - dealer operations. **Skill in** + Organization and time management to ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more