- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across... clients + Knowledge of general elements of credit risk as well as legal/compliance related to Bank and… more
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience...governance and IT stakeholders to identify additional areas of risk and procuring their help in solving complex issues… more
- Capital One (Richmond, VA)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly ... risks to the Company using various compliance surveillance tools and methods. The Associate Risk Specialist's primary responsibilities will be to provide support… more
- Coinbase (Jefferson City, MO)
- …a highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...to support our equities trading product. As a Senior Associate , you will play a critical role in executing… more
- Robert Half Legal (San Diego, CA)
- …About Firm & Position: A well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to ... advising key business units on a wide range of broker - dealer and investment advisory compliance issues. The...and investment advisory platforms, focusing on regulatory compliance and risk mitigation. + Respond to and manage FINRA arbitrations… more
- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... New Product, Underwriting, Risk Management, Compliance, IT Risk and Training committees. The Compliance Advisory Associate...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- JPMorgan Chase (Columbus, OH)
- …ever-changing market landscape. + Assist financial advisors in constructing strong risk -adjusted portfolios by leveraging the knowledge and analytics of our ... Portfolio Insights team. **Required qualifications, capabilities and skills:** + Bachelor's degree required. + 2+ years' experience + Series 7, Series 63 + Self-starter with a passion for sales and the financial markets. + Proven results shown through… more
- Santander US (Boston, MA)
- … risk , compliance, operational risk or legal roles within a broker - dealer , private wealth, or trust environment. - Required. + Deep understanding of ... Wealth Management Risk Associate Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in the financial… more
- Coinbase (Columbia, SC)
- …you'll be doing (ie. job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- JPMorgan Chase (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Business (LOBs) and Functional groups to gather data, develop risk views, and conduct annual LE Risk … more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... and coordinating the Compliance Oversight program over first line Risk Owner (RO) activities contributing to the overall Compliance...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Citizens (New York, NY)
- …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
- Cleveland Research Company (Cleveland, OH)
- …product in the market. Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is seeking a qualified candidate ... Compliance Associate Cleveland Research Company is an independent research...and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops… more
- M&T Bank (Orange, CA)
- …and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the documents, enter ... within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy of dealer records in various internal systems. Provides administrative support, including… more
- JPMorgan Chase (Jersey City, NJ)
- …Sales Associate within the Financial Institutions Group - Foreign Banks and Broker Dealer segments, you will be instrumental in supporting Payments Sales ... various departments such as client service, compliance, operations, technology, risk , credit, and legal to ensure the best product...process/procedures, a plus + As the Foreign Banks and Broker Dealer team covers inbound customers from… more
- JPMorgan Chase (Columbus, OH)
- …+ Understand and drive control design that support unique regulatory environment for the broker - dealer subject to oversite by the bank and Retail Non-Deposit ... **Consumer & Community Bank - JPMorgan Wealth Management Control Associate (Job Code OCCO02, Job Grade 602)** JPMorgan Chase & Co. (NYSE: JPM) is a leading global… more
- Wells Fargo (Davenport, IA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking an Associate Bank Financial Advisor (LO) in Wealth and...function + Review basic or tactical client goals and risk tolerance, assess investment profile, and evaluate client financial… more
- Wells Fargo (Birmingham, MI)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more… more
- Wells Fargo (San Francisco, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... with Wells Fargo. **About this role:** Wells Fargo is seeking an Investment Banking Associate with a focus on Software and Semiconductors for the Tech team within… more
