- Atria Wealth Solutions (San Diego, CA)
- …and maximize efficiencies in their practices. We are looking for a Supervisory Principal / Home Office Principal to join our organization. The Supervisory ... supervision to Office of Supervisory Jurisdiction (OSJ) Managers and Registered Representatives (Supervised Persons) assigned to your designated region. You… more
- MassMutual (Springfield, MA)
- **The Opportunity** As a **Suitability Principal ** you will conduct back-office review and firm-acceptance of new and existing business and account maintenance ... Direct and Third-Party Advisory accounts. + Review trading activity of registered representatives through supervisory control procedures and application of firm… more
- Truist (Charlotte, NC)
- …Perform supervisory task delegated by Principal Managers including oversight of securities related activity of registered bank teammates 8. Quality Control ... with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory...the public. Responsible for following regulatory policy as a Registered Principal for the firm. The Central… more
- Guardian Life (Pittsfield, MA)
- …+ Perform oversight reviews, through testing, of the tasks completed by the Registered Principal and Guardian India team. + Review various control reports ... in investing and the rules and regulations of the securities industry? Do you also enjoy working from home?...oversight through testing of the tasks completed by the Registered Principals. The right candidate will have the ability… more
- JPMorgan Chase (Morristown, NJ)
- … AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member ... 60 day condition of employment + If you were registered after October 1, 2018 you must also have...2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and… more
- JPMorgan Chase (New York, NY)
- … AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member ... 60 day condition of employment + If you were registered after October 1, 2018 you must also have...2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and… more
- Raymond James Financial, Inc. (Ridgeland, MS)
- …email and occasional personal visits. * Educates client on the functions of various securities markets and the principal factors that affect them. * Provides ... * Fundamental investment concepts, practices and procedures used in the securities industry * Economic and accounting principles and practices, the financial… more
- Lincoln Financial Group (Columbus, OH)
- …organization. You will provide supervision consultations and support for selling registered representatives reporting to Lincoln's home office providing supervisory ... principal responsibilities. **What you'll be doing** Serves as a...home office. Provides on-boarding support and training to new registered representatives affiliating with the Lincoln's home office. Ensures… more
- JPMorgan Chase (Columbus, OH)
- … AMOUNT INVESTED Investment products 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- JPMorgan Chase (Dublin, OH)
- … AMOUNT INVESTED Investment products 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- JPMorgan Chase (Azusa, CA)
- … AMOUNT INVESTED Investment products 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more