- Capital One (New York, NY)
- 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
- 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
- SMBC (New York, NY)
- …in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, procedures ... portfolio of benefits to its employees. **Role Description** The Associate (ASC) in the Americas Market Risk ...in risk management, counterparty risk , risk governance, broker - dealer risk… more
- PNC (Pittsburgh, PA)
- …will be based in Pittsburgh, PA. Position Overview: The Capital Markets Finance - Broker Dealer Accounting group supports a high growth and strategic business ... joining a team of finance professionals which includes individuals with CPAs and broker dealer licenses. PNCCM underwrites, deals, and trades in corporate… more
- 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
- JPMorgan Chase (Newark, DE)
- …or related financial services operations. + Understanding of Stock Borrow Loan, Broker Dealer (Prime Broker ) **Preferred qualifications, capabilities, and ... skills to identify potential scenarios, evaluate their impact and risk , and make informed decisions that directly affect departmental...+ Direct experience in Equities Operations, Stock Borrow Loan, Broker Dealer (Prime Broker ) +… 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
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …the department for years to come. Understanding of the regulatory agencies that oversee Broker - Dealer and RIA firms will be essential in understanding how the ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …processes that support the service advisors for our independent advisors and broker - dealer relationships. This role offers exposure to the day-to-day functions ... to associates, and clients of the future. Our company values associate development and growth, offering opportunities through developmental programs, mentorships,… 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
- Wells Fargo (St. Louis, MO)
- …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 Financial Relationship Advisor in Wealth and Investment...financial advice and counsel consistent with client goals and risk tolerance with a focus on prospective Wells Fargo… more
- Wells Fargo (Grants Pass, OR)
- …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 (Brentwood, TN)
- …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 Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the… more
- Wells Fargo (Deerfield, IL)
- …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 Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas… more
- Wells Fargo (North Wilkesboro, NC)
- …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 Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas… more
- Wells Fargo (Mclean, VA)
- …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 Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the… more
- Santander US (Boston, MA)
- …understanding of applicable Federal and State laws applicable to SEC registered broker - dealer . * Strong analytical and investigative skills and demonstrated ... Associate , Investment Supervision Country: United States of America...Bachelor's Degree or equivalent work experience: Sales Supervision, Compliance, Risk or equivalent field. - Preferred. 5+ Years Sales… more
- Mizuho Corporate Bank (New York, NY)
- … capital calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III + Conduct quantitative ... for a dynamic and skilled individual to spearhead the credit and market risk calculations, review and interpret new regulatory rules, partner with business to… more