- JPMorgan Chase (Columbus, OH)
- As a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, ... you will provide critical analysis and discussion of wealth management -specific regulatory issues, ongoing support of investment products distribution issues,… more
- US Bank (Charlotte, NC)
- …Operations Principal) to join our team to lead the Finance division of both a wealth management /retail broker dealer and a capital markets/institutional ... Generally Accepted Accounting Principles (GAAP) * Maintain and utilize broker dealer back office and settlement systems...dealer back office and settlement systems for financial management and reporting * Ensure the firm's compliance with… more
- TIAA (Frisco, TX)
- …securities license preferred or must be obtained within 6 months of hire. + Wealth management , broker - dealer , or registered investment adviser ... BI, and advertising regulations, to support lifetime income, annuity products, and wealth management materials offered by TIAA. **Key Responsibilities and… more
- Broadridge Financial Solutions (New York, NY)
- …of the financial services market, specifically the general workings of wealth management and capital markets broker / dealer operations, as well as ... ability to establish, develop and maintain senior-level relationships across bank and broker - dealer accounts. Candidate must have excellent oral and written… more
- Citigroup (New York, NY)
- …Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer funding, capital and liquidity management and oversight ... credit, corporate and investment banking, securities brokerage, transaction services, and wealth management . Our core activities are safeguarding assets, lending… more
- Broadridge Financial Solutions (Trenton, NJ)
- …functionality and how the BRACS solution is used by our clients. Experience with broker dealer / wealth management firms business and operational ... client-facing roles, customer engineering, or systems support + Experience working with broker dealer / wealth management firms is preferred + Familiarity… more
- City National Bank (Los Angeles, CA)
- …provide general regulatory and transactional support to the Bank and its wealth management operations and subsidiaries. Substantial expertise in advising ... of overall business strategy for the Bank and its wealth management business. WHAT WILL YOU DO?...counsel to the Bank and its registered investment adviser, broker - dealer , and registered investment fund subsidiaries and… more
- JPMorgan Chase (Jersey City, NJ)
- We are on the lookout for a talented Audit Manager to join our Asset and Wealth Management Internal Audit team. This is your opportunity to play a crucial role ... excellence! As an Audit Manager on the Asset and Wealth Management Internal Audit Team, you will...and regulatory requirements related to private banking, investment advisor, broker - dealer and fiduciary activities. + Experience with… more
- Equitable (Philadelphia, PA)
- Wealth Management Advisor - PA, Philadelphia...+ Our open-architecture platform for client solutions + Our broker / dealer powered by one of the world's ... broker /dealers LPL * + Our elite benefits and wealth -building programs + Our competitive payouts + Our operation...* LPL Financial, member FINRA, SIPC, is the clearing broker - dealer for Equitable Advisors, LLC and they… more
- City National Bank (Jersey City, NJ)
- …and Employee Benefit Trust Administration, Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking ... *SR AUDIT MANAGER- WEALTH MANAGEMENT * WHAT IS THE OPPORTUNITY? The Wealth Management Senior Audit Manager position, reporting to the Audit Director of … more
- JPMorgan Chase (Plano, TX)
- The US Wealth Management Legal team is seeking an attorney to support its dynamic annuities, life insurance and wealth management business, who thrives ... insight. As Insurance Attorney: Executive Director, Assistant General Counsel within our Wealth Management Legal team, you will provide critical leadership on… more
- Foresters Financial Services (Cleveland, OH)
- …Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- Foresters Financial Services (Beaverton, OR)
- …Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- Citizens (New York, NY)
- …Specialist will also serve as the operational specialist, in partnership with Private Wealth Management professionals. They will perform these duties with high ... understand risks associated with client product and transaction approvals/declines to limit broker dealer liability and financial loss. + Independently determine… more
- TD Bank (New York, NY)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities ... specific details for this role. **Line of Business:** TD Wealth **Job Description:** The Senior Wealth Lending...Lending Advisor is responsible for business development and relationship management on behalf of TD Bank with regards to… more
- Umpqua Bank (Greenwood Village, CO)
- Senior Wealth Advisor Wealth Management Scottsdale, Arizona Sacramento, California Greenwood Village, Colorado Los Angeles, California San Diego, California ... understanding of most client financial considerations. This role encompasses a multi-faceted wealth management model. This individual will need to continue to… more
- JPMorgan Chase (Oakland, CA)
- …to offer the best investment solutions to meet their financial needs. As a Private Wealth Advisor in Chase Wealth Management , you will offer comprehensive ... will possess strong analytical skills, a deep understanding of wealth management , and the ability to collaborate...offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA… more
- Brokers International (Urbandale, IA)
- …on digital solutions. + Understanding of Registered Investment Advisory, Broker Dealer , investment products, financial planning, and wealth management ... a pivotal role in spearheading the standardizing of a comprehensive digital Wealth Management ecosystem for a portfolio that spans multiple locations and brands.… more
- JPMorgan Chase (Chicago, IL)
- JP Morgan Wealth Management provides individuals, advisors and institutions with strategies and expertise that span the full spectrum of asset classes through ... while utilizing the latest technology and resources of the entire firm. Our Wealth Management teams develop deep, personal relationships with clients to provide… more
- Guardian Life (Bethlehem, PA)
- …detail oriented and possess excellent time management skills + Must understand broker dealer systems for account opening, asset movements, and order entry + ... **Overview:** As a Wealth Management Agency Operations Specialist, you will support Guardian Agencies with submitting new business and servicing wealth … more