- Invesco (New York, NY)
- …role in supporting Invesco's Private Market offerings by As a Client Service Associate within the Americas Client Service (ACS) team, you will play a key role in ... financial industry experience Knowledge of alternative investment funds, FinTech platforms, Broker - Dealer , Custodian, Wirehouse and RIA sales channels Knowledge… 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 (New York, NY)
- …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
- Wells Fargo (New York, NY)
- …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
