- 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 (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 (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