EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog

February 3, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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SALES and SUPPORT JOBS
  • Business Risk Specialist 

    NEW

    UBS Ag

     - New York City, NY

    The Control Officer is responsible for performing delegated supervisory functions for the complex/branch and ensuring that the complex is in compliance with firm risk management...

    7 hours ago from Global Compliance Jobs
     
  • Associate Marketing Manager 

    NEW

    UBS Ag

     - New York City, NY

    Project manage updates of monthly and quarterly marketing collateral, including fact sheets, sales ideas and brochures. <br><br> Manage legal review process through: Global AM...

    7 hours ago from Global Compliance Jobs
     
  • Senior Compliance Officer 

    NEW

    UBS Ag

     - Chicago, IL

    The Compliance Officer will; <br><br>Assist the CCO with overseeing all regulatory compliance for UBS O'Connor and coordinate with other asset management businesses within the...

    7 hours ago from Global Compliance Jobs
     
  • Control Analyst 

    NEW

    UBS Ag

     - Stamford, CT

    The Control Analyst is responsible for performing delegated supervisory functions and to ensure compliance with firm risk management guidelines and policies. In addition you may...

    7 hours ago from Global Compliance Jobs
     
  • Assistant Operations Manager 

    NEW

    UBS Ag

     - Minneapolis, MN

    The Operations Manager leads the daily operational activities and approvals (e.g., new accounts, funds received and delivered, trade processing, etc.) in the complex/ branch and...

    7 hours ago from Global Compliance Jobs
     
  • BRANCH FINANCIAL ADVISOR 

    NEW

    PNC

     - Wayne, NJ

    As a PNC Financial Advisor you will become part of PNC Investments, a specialized subsidiary of PNC Bank that provides products and services for individuals interested in...

    8 hours ago from PNC
     
  • Licensed Financial Specialist 

    NEW

    PNC

     - Saraland, AL

    As a Financial Specialist for PNC, you will have a unique opportunity to demonstrate our Brand Promise by making it easy for customers to achieve their financial goals with...

    8 hours ago from PNC
     
  • Licensed Financial Specialist - Bayside Americana 

    NEW

    PNC

     - Selbyville, DE

    As a Financial Specialist for PNC, you will have a unique opportunity to demonstrate our Brand Promise by making it easy for customers to achieve their financial goals with...

    8 hours ago from PNC
     
  • Licensed Financial Specialist - Whitesburg 

    NEW

    PNC

     - Huntsville, AL

    As a Financial Specialist for PNC, you will have a unique opportunity to demonstrate our Brand Promise by making it easy for customers to achieve their financial goals with...

    8 hours ago from PNC
     
  • FINANCIAL SPECIALIST 

    NEW

    PNC

     - Burbank, IL

    As a Financial Specialist for PNC, you will have a unique opportunity to demonstrate our Brand Promise by making it easy for customers to achieve their financial goals with...

    8 hours ago from PNC
     
  • Licensed Financial Specialist - Neshannock 

    NEW

    PNC

     - New Castle, PA

    As a Financial Specialist for PNC, you will have a unique opportunity to demonstrate our Brand Promise by making it easy for customers to achieve their financial goals with...

    8 hours ago from PNC
     
  • Licensed Financial Specialist - Waynetown 

    NEW

    PNC

     - Huber Heights, OH

    As a Financial Specialist for PNC, you will have a unique opportunity to demonstrate our Brand Promise by making it easy for customers to achieve their financial goals with...

    8 hours ago from PNC
     
  • Licensed Financial Specialist - South Park 

    NEW

    PNC

     - Bethel Park, PA

    As a Financial Specialist for PNC, you will have a unique opportunity to demonstrate our Brand Promise by making it easy for customers to achieve their financial goals with...

    8 hours ago from PNC
     
  • Licensed Financial Specialist - 140 Village 

    NEW

    PNC

     - Westminster, MD

    As a Financial Specialist for PNC, you will have a unique opportunity to demonstrate our Brand Promise by making it easy for customers to achieve their financial goals with...

    8 hours ago from PNC
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Lancaster, PA

    Company Description: Thrivent Financial is a financial services organization that helps Christians be wise with money and live generously. We offer a broad range of products and...

    8 hours ago from ZipRecruiter
     
  • BPA - US - IB DS / Management 

    NEW

    Barclays

     - New York City, NY

    About Barclays Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over...

    8 hours ago from Barclays
     
  • FCR - US-IB Regulatory Capital Reportin 

    NEW

    Barclays

     - New York City, NY

    About Barclays Barclays moves, lends, invests and protects money for customers and clients worldwide. With over 300 years of history and expertise in banking, we operate in over...

    8 hours ago from Barclays
     
  • AVP / VP - Fixed Income Surveillance 

    NEW

    Drum Associates

     - New York City, NY

    Our client, a top international investment bank with offices in NYC, is seeking a Fixed Income Surveillance Officer (AVP/VP level) in their Ethics &amp; Compliance Department.

    8 hours ago from The Ladders
     
  • Claims Examiner 

    NEW

    Landacorp

     - Richmond, VA

    Returning Candidate? Log back in! Claims Examiner ID 2015-1740 Job Location US-VA-Richmond Type Regular Full-Time Options: Apply for this job online Refer a friend to this job...

    9 hours ago from LandaCorp Inc.
     
  • Financial Advisor 

    NEW

    BMO Financial Group

     - Plainfield, IL

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier...

    9 hours ago from BMO Financial Group
     
  • Chase Private Client - Private Client Advisor - Issaquah, WA (Issaquah) 

    NEW

    JPMorgan Chase

     - Issaquah, WA

    Business Description: &nbsp; Chase is the U.S. consumer and commercial banking business of JPMorgan Chase &amp; Co. (NYSE: JPM), a leading global financial services firm with...

    9 hours ago from JPMorgan Chase & Co
     
  • GWM - Suitability - Project Manager 

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Global Wealth Management Suitability, Project Manager The Wealth Management division of J.P Morgan Chase &amp; Co is part of the Asset &amp; Wealth Management business...

    9 hours ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Cactus & 75th Ave Frys - Peoria, AZ (Bilingual Spanish Preferred) 

    NEW

    JPMorgan Chase

     - Peoria, AZ

    Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...

    9 hours ago from JPMorgan Chase & Co
     
  • Vice President, Relationship Manager (Non Portfolio),Corporate Client Banking 

    NEW

    JPMorgan Chase

     - Los Angeles, CA

    Vice President, Relationship Manager Senior,&nbsp;Corporate Client Banking &ndash; Western Region &ndash;General Industries Group, Los Angeles Description: &nbsp;The position is a...

    9 hours ago from JPMorgan Chase & Co
     
  • GWM - Suitability - Project Manager - Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Global Wealth Management Suitability, Project Manager - Associate The Wealth Management division of J.P Morgan Chase &amp; Co is part of the Asset &amp; Wealth...

    9 hours ago from JPMorgan Chase & Co
  • Asset Management - Global Wealth Management - Private Bank EHNW Group - Investment Specialist - VP 

    NEW

    JPMorgan Chase

     - Dallas, TX

    J.P. Morgan Private Bank Investment Specialist Job Description &nbsp; J.P. Morgan Private Bank has been helping the world&rsquo;s wealthiest individuals, families, foundations,...

    9 hours ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Sterling Kroger branch 

    NEW

    JPMorgan Chase

     - Peoria, IL

    Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...

    9 hours ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Union Hills and 19th Frys - Phoenix, AZ (Bilingual Spanish Preferred)

    NEW

    JPMorgan Chase

     - Phoenix, AZ

    Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...

    9 hours ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Bethany Home & 67th Fry's - Glendale, AZ (Bilingual Spanish REQUIRED) 

    NEW

    JPMorgan Chase

     - Glendale, AZ

    Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...

    9 hours ago from JPMorgan Chase & Co
     
  • Sr. Director, Service 

    NEW

    Fidelity Investments

     - Salt Lake City, UT

    We&rsquo;re looking for highly engaged, enthusiastic leaders to join our Salt Lake City/American Fork site senior leadership team (&ldquo;CMT&rdquo;) to lead managers and...

    10 hours ago from Fidelity Investments
     
  • Senior Compliance Advisor 

    NEW

    Fidelity Investments

     - Albuquerque, NM

    The Field Compliance Advisor's (FCA) primary responsibility will be to provide compliance support to PWI employees in the Albuquerque location, Albuquerque Investor Center, and WI...

    10 hours ago from Fidelity Investments
     
  • Regional Compliance Consultant 

    NEW

    Farmers Insurance Group

     - Mercer Island, WA

    Job Summary&nbsp; &nbsp; Provides compliance support for all Global Life North America entities, including individual and group lines of traditional and variable life insurance,...

    10 hours ago from Farmers Insurance Group
     
  • Associate Vice President 

    NEW

    Nw Recruiters

     - Austin, TX

    Company Description:NW Recruiters is the premier resource for executive jobs and management talent in the nation. Among recruiting firms, our knowledgeable recruiters consistently...

    10 hours ago from JOBS Employment Board
     
  • Financial Consultant 

    NEW

    AXA Advisors

     - Brooklyn, NY

    Company Description:About AXAAXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them As a member of the...

    10 hours ago from JOBS Employment Board
     
  • Credit Union Financial Advisor - St. Louis 

    NEW

    Symicor Group

     - St Louis, MO

    Company Description:Bankers Recruiting Bankers - The Symicor Group is a boutique bank-only talent acquisition firm based in Chicago. Our nationally unique value proposition...

    10 hours ago from JOBS Employment Board
     
  • Third Party Funds Project Manager 

    NEW

    Bank of America

     - Pennington, NJ

    3rd Party Products &amp; Platforms is responsible for the firm&rsquo;s 3rd party managed platforms within MSG and includes platforms such as MFA and UMA, as well as 3rd party...

    11 hours ago from Bank of America
     
  • Analyst (Experienced) - Valuation & Financial Opinions 

    NEW

    Stout Risius Ross

     - Los Angeles, CA

    Stout Risius Ross (SRR) is a financial advisory firm that specializes in Investment Banking, Valuation &amp; Financial Opinions, and Dispute Advisory &amp; Forensic Services.

    11 hours ago from Stout Risius Ross, Inc.
     
  • Vice President - Valuation & Financial Opinions 

    NEW

    Stout Risius Ross

     - Atlanta, GA

    Stout Risius Ross (SRR) is a financial advisory firm that specializes in Investment Banking, Valuation &amp; Financial Opinions, and Dispute Advisory &amp; Forensic Services.

    11 hours ago from Stout Risius Ross, Inc.
     
  • Analyst - Valuation & Financial Opinions 

    NEW

    Stout Risius Ross

     - Los Angeles, CA

    Stout Risius Ross (SRR) is a financial advisory firm that specializes in Investment Banking, Valuation &amp; Financial Opinions, and Dispute Advisory &amp; Forensic Services.

    11 hours ago from Stout Risius Ross, Inc.
     
  • Associate - Valuation & Financial Opinions 

    NEW

    Stout Risius Ross

     - Atlanta, GA

    Stout Risius Ross (SRR) is a financial advisory firm that specializes in Investment Banking, Valuation &amp; Financial Opinions, and Dispute Advisory &amp; Forensic Services.

    11 hours ago from Stout Risius Ross, Inc.
     
  • Sales Professional - Employee Health & Benefits - Mercer 

    NEW

    Marsh & Mclennan Companies

     - Los Angeles, CA

    Mercer is a global consulting leader in talent, health, retirement and investments. Mercer helps clients around the world advance the health, wealth and performance of their most...

    11 hours ago from Marsh & McLennan Companies
     
  • Broker/Dealer Regional Supervisory Officer - REQ02320 

    NEW

    Huntington Bancshares

     - Troy, MI

    Job Description * Responsible for reviewing, researching, and resolving escalated issues resulting from Huntington Investment Company ('HIC') brokerage representatives sales...

    11 hours ago from Huntington Bancshares Inc
     
  • Broker/Dealer Regional Supervisory Officer - REQ02208 

    NEW

    Huntington Bancshares

     - Toledo, OH

    Job Description * Responsible for reviewing, researching, and resolving escalated issues resulting from Huntington Investment Company ('HIC') brokerage representatives sales...

    11 hours ago from Huntington Bancshares Inc
     
  • New Accounts Associate 

    NEW

    Commonwealth Financial Network

     - Waltham, MA

    New Accounts Associate, New Accounts The New Accounts department processes new investment accounts opened by advisors on behalf of their clients. Is your attention to detail razor...

    11 hours ago from Commonwealth Financial Network
     
  • Manager, Operations-Clearance & Settlement Admin. 

    NEW

    Raymond James

     - Tampa, FL

    Job Summary: Under general direction with a high level of autonomy, uses extensive knowledge and skills obtained through education and experience to translate business strategy...

    11 hours ago from Raymond James
     
  • Compliance Officer - FRC Rates Advisory 

    NEW

    UBS Ag

     - New York City, NY

    UBS AG, a global financial services company, seeks a Compliance Officer to support the UBS IB Americas FRC (FX, Rates and Credit) trading and sales businesses. Responsibilities to...

    11 hours ago from Global Risk Jobs
     
  • Business Risk Specialist/ Control Officer 

    NEW

    UBS Ag

     - San Mateo, CA

    The Control Officer is responsible for performing delegated supervisory functions for the complex/branch and ensuring that the complex is in compliance with firm risk management...

    11 hours ago from Global Risk Jobs
     
  • Equities Compliance Officer 

    NEW

    UBS Ag

     - New York City, NY

    This position is in the advisory group of Equities Compliance. The compliance officer will provide advice and guidance to traders, sales persons and technology personnel regarding...

    11 hours ago from Global Risk Jobs
     
  • Senior Compliance Officer 

    NEW

    UBS Ag

     - Chicago, IL

    The Compliance Officer will; <br><br>Assist the CCO with overseeing all regulatory compliance for UBS O'Connor and coordinate with other asset management businesses within the...

    11 hours ago from Global Risk Jobs
     
  • Administrative Assistant FCG 

    NEW

    Tiaa-cref

     - Chicago, IL

    For more information about TIAA-CREF, visit our website. Administrative Assistant _FCG Scope TIAA-CREF seeks an Administrative Assistant to join our team. Primary responsibilities...

    11 hours ago from TIAA-CREF
  • Associate Financial Advisor

    Ameriprise Financial

     - Wellesley, MA

    Position Title: Associate Financial Advisor Position Description: Step into an instrumental role and work as an employee of an independent advisor franchisee with a financial...

    21 days ago from ZipRecruiter
     
  • Administrative Assistant

    Ameriprise Financial

     - Norman, OK

    Position title: Administrative assistant (entry level) Position Description: Step into an instrumental role. Help conduct the smooth operation of a fast-paced-and...

    6 days ago from Ameriprise Financial, Inc.
     
  • Product Manager - Alternative Investments 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    The Product Manager - Alternative Investments will primarily support the REIT product lines within the Alternative Investments team and will be able to expand their skill set to...

    3 days ago from Ameriprise Financial, Inc.
     
  • Sales Supervision Manager - SPS Advisor and Structured Products

    Ameriprise Financial

     - Minneapolis, MN

    Direct sales supervision of discretionary trading platform (SPS Advisor) and Structured Products. Required contact with advisors, field leaders and clients; in addition to...

    4 days ago from Ameriprise Financial, Inc.
     
  • Senior Compliance Manager/Leader - Field Office Inspections

    Ameriprise Financial

     - Minneapolis, MN

    This position will provide leadership support to Compliance Examiners who conduct field OSJ and Branch Office inspections, and will be responsible to support functional areas of...

    6 days ago from Ameriprise Financial, Inc.
     
  • Financial Sales and Support Associate

    Ameriprise Financial

     - Minneapolis, MN

    The Client Support Associate position in the Ameriprise Advisor Center (AAC) is responsible for delivering effective support and service to clients and advisors, delivering a high...

    11 days ago from Ameriprise Financial, Inc.
     
  • Customer Professional II - Licensed

    Ameriprise Financial

     - Minneapolis, MN

    Customer Professional II - Licensed Job ID 3294BR Recruiting Location Minneapolis, MN Full-Time / Part-Time Full-Time Exempt/Non-Exempt N/A Job Family Client Service Job Function...

    10 days ago from Ameriprise Financial
     
  • Client Service Manager

    Ameriprise Financial

     - Bohemia, NY

    Client Service Manager Job ID 3423BR Recruiting Location Bohemia, NY Full-Time / Part-Time Advisor Franchisee Job Family Franchise Job Function Business Support & Operations Job...

    9 days ago from Ameriprise Financial
     
  • Home Claims Representative Catastrophe Team 

    NEW

    Ameriprise Financial

     - Depere, WI

    Home Claims Representative Catastrophe Team Job ID 3009BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Business...

    2 days ago from Ameriprise Financial
     
  • Compliance Examiner- Branch Office Inspections

    Ameriprise Financial

     - Minneapolis, MN

    Compliance Examiner- Branch Office Inspections Job ID 3369BR Recruiting Location Minneapolis, MN Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Legal Affairs...

    10 days ago from Ameriprise Financial
     
  • Home Claims Representative

    Ameriprise Financial

     - Depere, WI

    Home Claims Representative Job ID 3379BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Business Support &...

    9 days ago from Ameriprise Financial
     
  • Senior Home Claims Representative Catastrophe Team

    Ameriprise Financial

     - Depere, WI

    Senior Home Claims Representative Catastrophe Team Job ID 3007BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family...

    9 days ago from Ameriprise Financial
     
  • Senior Vendor Analyst-Home Claims

    Ameriprise Financial

     - Depere, WI

    Senior Vendor Analyst-Home Claims Job ID 3401BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Business Support &...

    9 days ago from Ameriprise Financial
     
  • Senior Home Claims Representative

    Ameriprise Financial

     - Depere, WI

    Senior Home Claims Representative Job ID 3404BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Business Support &...

    9 days ago from Ameriprise Financial
     
  • Rate Analyst

    Ameriprise Financial

     - Depere, WI

    Rate Analyst Job ID 3405BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Non-Exempt Job Family Marketing/Product Management Job...

    9 days ago from Ameriprise Financial
     
  • Automotive Physical Damage Appraiser

    Ameriprise Financial

     - Depere, WI

    Automotive Physical Damage Appraiser Job ID 2762BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Business...

    9 days ago from Ameriprise Financial
     
  • Home Claims Large Loss Specialist-Catastrophe

    Ameriprise Financial

     - Depere, WI

    Home Claims Large Loss Specialist-Catastrophe Job ID 3005BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family...

    9 days ago from Ameriprise Financial
     
  • Workforce Real Time/Scheduling Specialist

    Ameriprise Financial

     - Depere, WI

    Workforce Real Time/Scheduling Specialist Job ID 3202BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Non-Exempt Job Family...

    9 days ago from Ameriprise Financial
     
  • Ameriprise Advisor Center - Client Support Associate-Licensed

    Ameriprise Financial

     - Las Vegas, NV

    Job DescriptionThe Client Support Associate position in the Ameriprise Advisor Center (AAC) is responsible for delivering effective support and service to clients and advisors,...

    7 days ago from Professional Diversity Network
     
  • Ameriprise Advisor Center - Client Support Associate

    Ameriprise Financial

     - Minneapolis, MN

    Job DescriptionThe Client Support Associate position in the Ameriprise Advisor Center (AAC) is responsible for delivering effective support and service to clients and advisors,...

    7 days ago from Professional Diversity Network
     
  • Inside Sales Agent - Home Insurance (Las

    Ameriprise Financial

     - Vegas, NV

    Inside Sales Agent - Home Insurance (Las Vegas, NV) Job ID 3421BR Recruiting Location Las Vegas, NV Full-Time / Part-Time Full-Time Exempt/Non-Exempt Non-Exempt Job Family Sales...

    10 days ago from Ameriprise Financial
     
  • Senior Compliance Manager/Leader 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    This position will provide leadership support to Compliance Examiners who conduct field OSJ and Branch Office inspections, and will be responsible to support functional areas of...

    11 hours ago from Global Risk Jobs
     
  • New Business Trust Officer - ANTB 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    Work directly with advisors & field leaders to recommend and sell Personal Trust Services (PTS). Partner with internal and external wholesalers to meet pipeline opportunity...

    11 hours ago from Global Risk Jobs
     
  • Financial Planning Specialist 

    NEW

    Ameriprise Financial

     - Westport, CT

    Position Description: Step into an instrumental role. Help conduct the smooth operation of a fast-paced-and friendly-financial planning office. Work as an employee of an...

    1 day ago from Global Risk Jobs
     
  • Senior Equity Research Analyst 

    NEW

    Ameriprise Financial

     - Troy, MI

    The Ameriprise Investment Research Group is currently looking for a Sr. Equity Research Analyst to cover the Energy and Utilities sector. This role plays an integral role in the...

    1 day ago from Global Risk Jobs
  • Investment Assistant - Emerging High Net Worth - Series 7 & 63 Required 

    NEW

    JPMorgan Chase

     - Chicago, IL

    The Private Client Direct business is a part of JPMorgan's Private Wealth Management business. Private Wealth Management (PWM) is a wealth management business of JPMorgan focused...

    2 days ago from JPMorgan Chase
     
  • Senior Compliance Officer - Core Compliance 

    NEW

    JPMorgan Chase

     - Jersey City, NJ

    JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in...

    2 days ago from JPMorgan Chase
     
  • Investment Assistant - Emerging High Net Worth 

    NEW

    JPMorgan Chase

     - Birmingham, MI

    The Private Client Direct business is a part of JPMorgan's Private Wealth Management business.&nbsp; Private Wealth Management (PWM)&nbsp;is a wealth management business of...

    3 days ago from JPMorgan Chase & Co
     
  • Investment Assistant - Emerging High Net Worth 

    NEW

    JPMorgan Chase

     - Houston, TX

    The Private Client Direct business is a part of JPMorgan's Private Wealth Management business.&nbsp; Private Wealth Management (PWM)&nbsp;is a wealth management business of...

    3 days ago from JPMorgan Chase & Co
     
  • Compliance Manager for Registered Investment Advisory Programs

    JPMorgan Chase

     - New York City, NY

    JPMorgan Chase &amp; Co. (NYSE: JPM) is a leading global financial services firm with assets of %242 trillion and operations in more than 60 countries. The firm is a leader in...

    4 days ago from JPMorgan Chase & Co
     
  • Compliance Manager- Private Funds and Advisory Program

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan is a global leader in asset management services.&nbsp; The Global Wealth Management division delivers the highest quality advice, service, capabilities and products to...

    6 days ago from JPMorgan Chase & Co
     
  • Compliance Manager- Private Funds and Advisory Program 

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan is a global leader in asset management services. The Global Wealth Management division delivers the highest quality advice, service, capabilities and products to ultra...

    2 days ago from JPMorgan Chase
     
  • GWM - Fixed Income - Investment Professional 

    NEW

    JPMorgan Chase

     - New York City, NY

    *J.P. Morgan Global Wealth Management* /Fixed Income, Investment Professional/ */ /* JP Morgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of...

    2 days ago from JPMorgan Chase
     
  • Chase Private Client - Private Client Advisor - Issaquah, WA (Issaquah) 

    NEW

    JPMorgan Chase

     - Issaquah, WA

    Business Description: &nbsp; Chase is the U.S. consumer and commercial banking business of JPMorgan Chase &amp; Co. (NYSE: JPM), a leading global financial services firm with...

    9 hours ago from JPMorgan Chase & Co
     
  • GWM - Suitability - Project Manager 

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Global Wealth Management Suitability, Project Manager The Wealth Management division of J.P Morgan Chase &amp; Co is part of the Asset &amp; Wealth Management business...

    9 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Market Director - Dallas or

    JPMorgan Chase

     - Houston, TX

    Chase Wealth Management Market Director-**Open to Dallas and Houston locations Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase &...

    9 days ago from JPMorgan Chase
     
  • Compliance Manager for Registered Investment Advisory Programs

    JPMorgan Chase

     - New York City, NY

    JPMorgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of $2 trillion and operations in more than 60 countries. The firm is a leader in...

    9 days ago from JPMorgan Chase
     
  • Asset Management - Private Bank - Emerging High Net Worth - Investment Advisor 

    NEW

    JPMorgan Chase

     - Scottsdale, AZ

    J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...

    2 days ago from JPMorgan Chase
     
  • Chase Private Client - Private Client Advisor - Peoria, AZ (Bell Rd and 77th Ave) 

    NEW

    JPMorgan Chase

     - Peoria, AZ

    Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    2 days ago from JPMorgan Chase
     
  • Chase Private Client - Private Client Advisor 

    NEW

    JPMorgan Chase

     - Glendora, CA

    *_Business Description:_* *_* *Chase*is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets...

    2 days ago from JPMorgan Chase
     
  • Chase Private Client - Private Client Advisor - Oceanside, CA (Mission Ave) 

    NEW

    JPMorgan Chase

     - Oceanside, CA

    *_Business Description:_* *_* *Chase*is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets...

    2 days ago from JPMorgan Chase
     
  • Chase Private Client Investment Associate 

    NEW

    JPMorgan Chase

     - San Mateo, CA

    Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    2 days ago from JPMorgan Chase
     
  • Chase Wealth Management - Financial Advisor - Lakeland, FL (Near Orlando and Tampa) 

    NEW

    JPMorgan Chase

     - Lakeland, FL

    Financial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...

    2 days ago from JPMorgan Chase
     
  • Chase Private Client - Private Client Advisor- Naperville, IL (Naperville Hobson) 

    NEW

    JPMorgan Chase

     - Naperville, IL

    Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    2 days ago from JPMorgan Chase
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Naperville Downtown 

    NEW

    JPMorgan Chase

     - Naperville, IL

    * Financial Advisor * **Business Description:** Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services...

    2 days ago from JPMorgan Chase
     
  • Asset Management - Private Bank - Investment Specialist - Emerging High Net Worth 

    NEW

    JPMorgan Chase

     - Rochester, NY

    J.P. Morgan Private Bank has been helping the world&rsquo;s wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through...

    3 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor Associate - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Munster, IN

    *Financial Advisor Associate* *Business Description:* *Chase*is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...

    2 days ago from JPMorgan Chase
     
  • CIB F&BM - Banking Treasury - Analyst/Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P.&nbsp;Morgan's Corporate &amp; Investment Bank is a global leader across banking, markets and investor services. The world's most important corporations, governments and...

    3 days ago from JPMorgan Chase & Co
     
  • CIB F&BM - Banking Treasury - Analyst/Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan's Corporate & Investment Bank is a global leader across banking, markets and investor services. The world's most important corporations, governments and institutions...

    2 days ago from JPMorgan Chase
     
  • Asset Management - Private Bank - Market Manager - Emerging High Net Worth

    JPMorgan Chase

     - Columbus, OH

    J.P. Morgan Private Bank has been helping the world&rsquo;s wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through...

    4 days ago from JPMorgan Chase & Co
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Lancaster, PA

    Company Description: Thrivent Financial is a financial services organization that helps Christians be wise with money and live generously. We offer a broad range of products and...

    8 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    BMO Financial Group

     - Plainfield, IL

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier...

    9 hours ago from BMO Financial Group
     
  • Financial Advisor 

    NEW

    New York Life Insurance

     - San Mateo, CA

    Company Description: New York Life Insurance Company ("New York Life") is the largest mutual life insurance company in the United States*. Founded in 1845, New York Life is...

    14 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    Williams Asset Management

     - Columbia, MD

    Company Description: Founded in 1994, Williams Asset Management is an award-winning, privately-owned investment advisory services and wealth management firm, located in Columbia,...

    15 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    Multinational Spanish Banking Group

     - Turlock, CA

    Responsibilities Provide financial advice and counseling to customers and prospects through the sale of mutual funds, government, municipal and corporate bonds, fixed and variable...

    22 hours ago from IvyExec
     
  • Financial Advisor 

    NEW

    First Command Financial Services

     - Newport, RI

    We are currently seeking ambitious, driven and competitive people to become fully-licensed Financial Advisors. Benefits of being a Financial Advisor: Compensation In 2010 the...

    1 day ago from Rhode Island Works
     
  • Financial Advisor 

    NEW

    Oregon Employment Department

     - Portland, OR

    Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...

    2 days ago from Oregon Employment Department
     
  • Financial Advisor 

    NEW

    Lake Michigan Credit Union

     - Livonia, MI

    Lake Michigan Credit Union is one of the largest financial institutions in Michigan and was established in 1933. We are seeking customer oriented individuals to join our team and...

    2 days ago from Lake Michigan Credit Union
     
  • Financial Advisor 

    NEW

    AXA Advisors

     - Woodbury, NY

    Company Description: About AXA AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them As a member of the...

    2 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    Financial Planning Services

     - Boise, ID

    Job Description: DESCRIPTION. Do not miss this opportunity! If you are considering entering the financial services industry, LET`S TALK! Our firm has what you are looking for!...

    2 days ago from Jobg8
     
  • Financial Advisor 

    NEW

    AIG

     - Salinas, CA

    Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...

    3 days ago from AIG
     
  • Financial Advisor

    AXA Advisors

     - Greensboro, NC

    Company Description: AXA Advisors, LLC is a member of the global AXA Group, "AXA Group" refers to AXA, a French holding company for a group of international insurance and...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    Cornerstone Financial Group

     - Renton, WA

    Job Description: Cornerstone Financial Group If you're tired of sitting on the sidelines and applying for dead-end jobs and are ready to embark on a stable, fast-paced career with...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    AIG Financial Advisors

     - Garden City, KS

    Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.

    5 days ago from BrokerHunter.com
     
  • Financial Advisor

    AIG Financial Advisors

     - Little Rock, AR

    Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.

    5 days ago from BrokerHunter.com
     
  • Financial Advisor

    USAA

     - Tampa, FL

    We are currently seeking talented Licensed Financial Advisors for our Tampa, FL & call center. & The start date for this position is April 27th, 2015.Apply Now! Candidates hired...

    6 days ago from Jobing.com
     
  • Financial Advisor

    USAA

     - Tampa, FL

    We are currently seeking talented Licensed Financial Advisors for our Tampa, FL call center. The start date for this position is April 27th, 2015 . Apply Now! Candidates hired...

    7 days ago from USAA
     
  • Financial Advisor

    Geary Kornelik & Associates

     - Chicago, IL

    Company Description: About Geary Kornelik &amp; Associates Geary Kornelik &amp; Associates is a search and placement firm based here in Chicago that truly is "By bankers, for...

    8 days ago from ZipRecruiter
     
  • Financial Advisor

    Major Mutual Fund Investment Management Company

     - Valley Forge, PA

    Your Primary Duties and Responsibilities: Develop a thorough understanding of each clients financial situation in order to create and deliver a suitable strategy based upon...

    8 days ago from IvyExec
     
  • Financial Advisor

    American International Group

     - Chicago, IL

    Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...

    9 days ago from American International Group
     
  • Financial Advisor

    BMO Harris Bank

     - Orland Park, IL

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services...

    9 days ago from Jobing.com
     
  • Financial Advisor

    Thrivent Financial

     - Columbus, OH

    Company Description: Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities...

    10 days ago from ZipRecruiter
     
  • Financial Advisor

    Northern Financial Services

     - Watertown, NY

    Company Description: A progressive, fast-paced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment services...

    12 days ago from ZipRecruiter
     
  • Financial Advisor

    R. Knapp Financial

     - Peoria, IL

    Company Description: We are an independent financial services firm specializing in retirement plans and individual wealth management. We have experienced significant growth in the...

    15 days ago from ZipRecruiter
     
  • Financial Advisor

    Mass Mutual

     - Newport Beach, CA

    Job Description: ~~Career changers: looking for a rewarding career? Are you looking for a career that will leverage your years of work experience, provide you an opportunity to...

    17 days ago from ZipRecruiter
  • ompliance Officer 

    NEW

    Robert Half Finance &amp; Accounting

     - New York City, NY

    The CFTC / NFA Compliance Associate will:Develop and enforce the supervisory framework for ... Interested candidates for CFTC / NFA Compliance Officer should forward their resume to...

    20 hours ago from NY City Works
     
  • Compliance Officer 

    NEW

    Global Leader In Investment Management

     - Jersey City, NJ

    Further, subject matter expertise is required for brokerage operations, SEC/FINRA/OCC rule ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...

    22 hours ago from IvyExec
     
  • Compliance Officer 

    NEW

    Craig Scott Capital

     - Uniondale, NY

    Job Description: Regulatory Compliance Officer Generalist with strong compliance ... Comprehensive understanding of SEC/FINRA Rules and Regulations...

    3 days ago from ZipRecruiter
     
  • Compliance Officer

    European Leader In Global Banking and Financial Services

     - San Ramon, CA

    regulatory impacted materials. Assists compliance manager on matters involving ... Liaise with Group and/or Division Compliance and Corporate Compliance...

    4 days ago from IvyExec
     
  • Compliance Officer

    Packerland Brokerage Services

     - Green Bay, WI

    culture of regulatory compliance. The Compliance Officer position is a key resource ... Employer. Keywords:Compliancecompliance officer, supervisory, supervision,...

    5 days ago from CareerRookie.com
     
  • COMPLIANCE OFFICER

    Parker + Lynch

     - Chicago, IL

    regulations as well as the rules of FINRACompliance Officer Job Responsibilities ... and staff on all issues concerning compliance rules, regulations and procedures...

    5 days ago from Parker + Lynch
     
  • Compliance Officer

    Kforce Inc.

     - Newark, DE

    Kforce has a client seeking a Compliance Officer in Newark, Delaware (DE). ... concerns and refer matters to the firm's Compliance Advisory, Risk, Examination and/or...

    12 days ago from Kforce Finance & Accounting
     
  • Compliance Officer

    Bank

     - New York City, NY

    and administering an institutional compliance program; developing and performing ... and risk assessments * Ability to draft compliance policies and procedures * FINRA...

    15 days ago from Green Key Resources
  • Corporate Attorney--Fund Formation 

    NEW

    Lsj

     - New York City, NY

    Seed and strategic investor transactions -Fiduciary obligations and side letters -Draft compensation agreements -Compliance rules and regulations of SEC, FINRA and other...

    20 hours ago from NY City Works
     
  • Legal and Compliance Analyst - Elite Hedge Fund 

    NEW

    Access Staffing

     - New York City, NY

    from outside counsel. EDUCATION Bachelor's degree from a highly regarded college ... a CPA or a FINRAlicense would be viewed favorably, but is not required. Candidate...

    20 hours ago from NY City Works
     
  • Counsel Market Regulation - Chicago, IL 

    NEW

    Finra

     - New York City, NY

    company s policy on nepotism. About FINRA FINRA is an independent, non-governmental ... qualified protected veterans. 2015 FINRA. All rights reserved. FINRA is a...

    20 hours ago from NY City Works
     
  • Enforcement Counsel 

    NEW

    Finra

     - New York City, NY

    to the FINRA Careers site, enter www.finra.org/careers into your browser to reach ... qualified protected veterans. 2014 FINRA. All rights reserved. FINRA is a...

    20 hours ago from NY City Works
     
  • Vice President & Chief Counsel Data Initiatives 

    NEW
    Newark, NJ

    profile position of Vice President and Chief Counsel Data Initiatives in the Prudential ... This senior attorney will provide counsel and advice to various internal...

    22 hours ago from IvyExec
  • Senior Vice President & Deputy Chief, Enforcement 

    NEW

    Independent Securities Regulator

     - Rockville, MD

    Operations departments to further FINRA s regulatory and businessobjectives. ... the RockvilleEnforcement Program and other FINRA departments, including Member...

    22 hours ago from IvyExec
     
  • Enforcement Counsel 

    NEW

    Independent Securities Regulator

     - Rockville, MD

    capacity, or assist in representing the FINRA in disciplinary hearings as its staff ... attorneys and participate as needed in FINRA staff and external training programs.

    22 hours ago from IvyExec
     
  • Attorney - Employment Law 

    NEW

    Kelly Services

     - New York City, NY

    commissions, and supervise outside counsel nationwide. The Employment Law ... ranging from litigation attorneys and senior counsel to legal administrators and...

    1 day ago from NY City Works
     
  • Director of Complaints and Counsel 

    NEW

    Edward Jones

     - St Louis, MO

    Director of Complaints and Counsel Edward Jones is one of the nation's fastest-growing ... with outside and opposing counsel; reviewing proposed and final federal and state...

    2 days ago from Edward Jones
     
  • Senior Counsel Job 

    NEW

    BNY Mellon

     - Jersey City, NJ

    isrewarded based on company success. ASenior Counsel may have some administrative ... will haveongoing relationships with outside counsel. This role will help to supportPrime...

    2 days ago from BNY Mellon
  • PPM Lawyer - Hartford area 

    NEW

    Talent Partners / IT Services

     - Hartford, CT

    counsel and advice to the business on the FINRA rules and regulations related to the ... of course), please email your resume. FINRA Rule 5122 or 5123, Regulation D, Rule...

    3 days ago from Talent Partners / IT Services
     
  • VP, Corporate Counsel 

    NEW

    Prudential Financial

     - Newark, NJ

    cross-business initiatives. Represent and counsel Individual Life and Annuities ... to provide consistent cross-functional counsel in connection with insurance...

    3 days ago from Global Compliance Jobs
     
  • CCOs and Attorneys With Investment Advisers Act of 1940 Experience 

    NEW
     

    Mission Critical Services

     - New York City, NY

    of 1940, Investment Company Act of 1940, and FINRA rules, to join our investment adviser ... Securities and Exchange Commission (SEC), FINRA and states. Regulatory filings include...

    3 days ago from Mission Critical Services Corp.
     
  • Mid-Level Labor - Employment Associate Attorney 

    NEW
     

    Kinney Recruiting

     - New York City, NY

    and severance agreements, and handling FINRA arbitrations, FLSA and WARN issues, preferably at a large law firm. You will have the opportunity to take cases through to trial and...

    3 days ago from Kinney Recruiting, Inc.
     
  • Bank of America

     - Boston, MA

    Description: Provides general legal counsel to AMGs investment management business ... Investment Advisers Act of 1940, and SEC, FINRA and CFTC rules and regulations. *...

    7 days ago from Bank of America
     
  • Corporate Legal Counsel

    Kansas City, MO

    department, this attorney will educate, counsel, and advocate for our business ... - Direct experience dealing with the SEC, FINRA, the MSRB, or SROs - Aptitude for...

    8 days ago from IvyExec
     
  • Senior Counsel Job

    BNY Mellon

     - Jersey City, NJ

    isrewarded based on company success. ASenior Counsel may have some administrative ... will haveongoing relationships with outside counsel. This role will help to supportPrime...

    9 days ago from BNY Mellon
     
  • Vice President & Chief Counsel Data Initiatives

    Prudential

     - Newark, NJ

    This senior attorney will provide counsel and advice to various internal ... clients **Job:** **Attorney/CorporateCounsel** **Title:** **Vice President & Chief...

    10 days ago from Prudential