- Oppenheimer & Co. Inc. (Southbury, CT)
- …& Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker - dealer . With roots tracing back to 1881, the Company is engaged in ... Job Description The firm is seeking a Client Service Associate to join our Private Client Division in Southbury, CT office. The primary responsibilities… more
- Oppenheimer & Co. Inc. (New York, NY)
- …& Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker - dealer . With roots tracing back to 1881, the Company is engaged in ... services. Job Description The firm is seeking a Client Service Associate to join our Private Client Division in our Jericho, NY branch office. The primary… 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
- JPMorgan Chase (Walnut Creek, CA)
- …to offer the best investment solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will be ... 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 (New York, 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
- 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or finance and a minimum of five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or similar in a related role ... - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and similar firms *… more
- Wells Fargo (Washington, DC)
- …and banking for private wealth clients + Advise on bank and broker dealer regulatory requirements applicable to banking and lending activities + Serve ... **About this role:** Wells Fargo is seeking an Associate General Counsel, Executive Director in the Legal...Experience as a practicing attorney with securities-based bank and broker dealer lending products; custom and mortgage… 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
- 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
- Umpqua Bank (Greenwood Village, CO)
- …+ 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
