EMPLOYMENT TUESDAY at BrokeAndBroker.com

February 10, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

NOTICE TO EMPLOYERS: BrokeAndBroker offers the perfect Wall Street demographic of industry professionals: stockbrokers, advisors, lawyers, regulators, compliance officers, and 
back-office staff.
  

Click POST A JOB and your position will be promptly listed.  
Only $50 for 30 days! 


SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    Poppell Financial Group

     - Orlando, FL

    Company Description: We are a regional financial services firm serving the panhandle and central Florida. While many financial products offered by firms are similar, our customer...

    17 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    Simmons First

     - Searcy, AR

    Job Status: Full-time Location: Searcy, AR Approx. Hours of Work: Monday - Friday 8:00 am - 5:00 pm Salary: Commission Education/Training: College degree in business or finance...

    20 hours ago from Job.com
     
  • Financial Advisor 

    NEW

    Securian Financial Group

     - San Mateo, CA

    Financial Advisor Professionals Serving Professionals in a Thriving Industry True professionals have always sought like-minded individuals to serve their needs. You have an...

    21 hours ago from Job.com
     
  • 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!...

    1 day ago from Jobg8
     
  • Financial Advisor 

    NEW

    AXA Advisors

     - Oklahoma City, OK

    Financial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...

    1 day ago from CareerRookie.com
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Cleveland, OH

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

    2 days ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    New York Life

     - Melville, NY

    Job Description: Financial Advisor New York Life Melville, NY PARTNER WITH US AND SEE YOUR CAREER GROW WITH NEW YORK LIFE GREATER LONG ISLAND OFFICE IN MELVILLE,NY! We are looking...

    2 days ago from ZipRecruiter
     
  • Financial Advisor

    AXA Advisors

     - Brooklyn, NY

    Join AXA Advisors, LLC - As an affiliate of AXA Equitable Life Insurance Company (NY,NY) and a member of the AXA Group*, one of the world's most admired financial services...

    4 days ago from TheJobNetwork
     
  • Financial Advisor

    Ally

     - Madison, WI

    Requirements: Bachelors Degree 2 to 5 years experience Series 7 License Series 66 or 63 and 65 license Life/Health license Experience selling securities/insurance Banking or...

    4 days ago from Ally
     
  • Financial Advisor

    AIG Financial Advisors

     - Nashville, TN

    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.

    4 days ago from BrokerHunter.com
     
  • Financial Advisor

    Duffy Wealth Management

     - Seattle, WA

    At Duffy Wealth Management we commit our energies intellect and experience in helping to attain the financial goals of our clients by providing the highest level of service and...

    4 days ago from WisdomJobs.us
     
  • Financial Advisor

    AIG

     - Jackson, TN

    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...

    5 days ago from AIG
     
  • Financial Advisor

    Seacoastbank

     - Orlando, FL

    Company Description: Headquartered in Martin County, FL, Seacoast Bank, a $3.0 billion Institution, is unrivaled among community banks and state wide regional banks alike!...

    6 days ago from ZipRecruiter
     
  • Financial Advisor

    Hoopis Financial Group

     - Naperville, IL

    Job Description: Not all financial services companies are the same. Product offerings, producer support, ongoing training and marketing vary widely. With Hoopis Financial Group of...

    6 days ago from ZipRecruiter
     
  • Financial Advisor

    New York Life

     - Barnstable, MA

    Company Description: Insurance and Financial Services Job Description: Financial Adviser / Registered Representative / Agent Career Description: Financial Professionals help...

    6 days ago from ZipRecruiter
     
  • Financial Advisor

    BMO Harris Bank

     - 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 Services...

    6 days ago from Jobing.com
     
  • Financial Advisor

    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...

    7 days ago from ZipRecruiter
     
  • Financial Advisor

    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 Services'...

    7 days ago from BMO Financial Group
     
  • Financial Advisor

    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,...

    7 days ago from ZipRecruiter
     
  • Financial Advisor

    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...

    7 days ago from IvyExec
     
  • Financial Advisor

    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...

    9 days ago from Oregon Employment Department
     
  • Financial Advisor

    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...

    9 days ago from Lake Michigan Credit Union
     
  • Financial Advisor

    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...

    10 days ago from AIG
     
  • 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...

    10 days ago from ZipRecruiter
     
  • 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.

    12 days ago from BrokerHunter.com
  • Windows Systems Administrator II 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionProvide systems administration (implementation, management and operational support) and technical expertise for assigned systems, including provisioning,...

    1 hour ago from Jofdav
     
  • Financial Sales Leader 

    NEW

    Ameriprise Financial

     - Las Vegas, NV

    Job DescriptionThe Financial Sales Leader in The Ameriprise Advisor Center(AAC) is responsible for driving results by providing frontline leadership, development and coaching to a...

    1 hour ago from Jofdav
     
  • Senior Interactive Coordinator - (De Pere 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionThe Interactive Department is responsible for the Auto & Home interactive web strategy. This position assists with the implementation of interactive project...

    1 hour ago from Jofdav
     
  • Branch Manager - Daytona 

    NEW

    Ameriprise Financial

     - Daytona Beach, FL

    Job DescriptionDrive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable...

    1 hour ago from Jofdav
     
  • Senior Director - Product Management for Homeowners 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionProvides strategic oversight to company performance on key metrics and develops/influences plans to create or improve results i.e. product features, sales, service,...

    1 hour ago from Jofdav
     
  • Senior Actuarial Analyst 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionResponsible for developing and monitoring indicated rates for Auto, Homeowners, Umbrella, and/or Travel products both in aggregate and by rating plan, preparing...

    1 hour ago from Jofdav
     
  • Financial Sales and Support Associate 

    NEW

    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,...

    1 hour ago from Jofdav
     
  • Associate Branch Manager 

    NEW

    Ameriprise Financial

     - New Orleans, LA

    Drive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable growth through...

    5 hours ago from Ameriprise Financial, Inc.
     
  • Branch Manager 

    NEW

    Ameriprise Financial

     - Birmingham, AL

    Drive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable growth through...

    5 hours ago from Ameriprise Financial, Inc.
     
  • Associate Manager 

    NEW

    Ameriprise Financial

     - Boston, MA

    Drive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable growth through...

    5 hours ago from Ameriprise Financial, Inc.
     
  • Financial Advice Regional Sales Consultant 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    The Financial Advice Regional Sales Consultant provides subject matter expertise on financial planning concepts, process and tools. The Consultant is accountable for maximizing...

    14 hours ago from Global Risk Jobs
     
  • Senior Manager Business Insights Analyst 

    NEW

    Ameriprise Financial

     - Depere, WI

    Ameriprise Auto & Home (AAH) is looking for a motivated Sr. Manager - Business Insights Analyst to join the Performance & Insights team responsible for establishing and enhancing...

    14 hours ago from Global Risk Jobs
     
  • Financial Sales and Support Associate 

    NEW

    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...

    14 hours ago from Global Risk Jobs
     
  • Compliance Examiner- Branch Office Inspections 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    The Compliance Officer will conduct Branch Office and Office of Supervisory Jurisdiction FINRA required inspections, including Ameriprise Advisor Center, Centralized Supervision...

    14 hours ago from Global Risk Jobs
     
  • Branch Manager 

    NEW

    Ameriprise Financial

     - Long Beach, CA

    Job DescriptionDrive profitable growth within an office; support a large geography with strong market potential by creating a compelling business plan emphasizing profitable...

    1 day ago from Disabled Persons
     
  • Senior Equity Research Analyst - Energy/Utilities 

    NEW

    Ameriprise Financial

     - Troy, MI

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

    1 day ago from Disabled Persons
     
  • Product Manager - Alternative Investments 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

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

    1 day ago from Disabled Persons
     
  • Rate Analyst 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionResponsible for supporting the state rate filing process and aid in the development of pricing decisions. Responsibilities include rate documentation, rate...

    1 day ago from Disabled Persons
     
  • Senior Home Claims Representative 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionThis position is responsible for adjusting intermediate level homeowner's claims within delegated settlement authority limits and ensures compliance with state and...

    1 day ago from Disabled Persons
     
  • Senior Vendor Analyst-Home Claims 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionProvide support to the Home Claims unit through vendor management duties and participation in projects within defined scope and responsibility. Lead all vendor...

    1 day ago from Disabled Persons
     
  • Vice President - Product Management 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionProvides strategic oversight of company performance on key metrics and develops plans to create and improve results i.e. product features, sales, service,...

    1 day ago from Disabled Persons
     
  • Inside Sales Agent - Home Insurance 

    NEW

    Ameriprise Financial

     - Las Vegas, NV

    Job DescriptionAssist clients via warm leads to educate, provide quotes and sell any, or all, of the following insurance products - auto, home/renters/condo, and umbrella...

    1 day ago from Disabled Persons
     
  • Home Claims Representative 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionThis position is responsible for adjusting intermediate level homeowner's claims within delegated settlement authority limits and ensures compliance with state and...

    1 day ago from Disabled Persons
     
  • Senior Home Claims Representative Catastrophe Team 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionThis position is responsible for adjusting highest level automobile or homeowner's claims within delegated settlement authority limits and ensures compliance with...

    1 day ago from Disabled Persons
     
  • Home Claims Large Loss Specialist-Catastrophe 

    NEW

    Ameriprise Financial

     - Depere, WI

    Job DescriptionThis representative is responsible for handling home losses greater than $100,000.00. The representative flies to the location of the loss and handles all...

    1 day ago from Disabled Persons
  • Executive Assistant (104664) 

    NEW

    TD Ameritrade

     - Jersey City, NJ

    Job Title: Executive Assistant Job ID: 104664 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...

    2 hours ago from TD Ameritrade
     
  • Manager HR Relationship (104658) 

    NEW

    TD Ameritrade

     - Fort Worth, TX

    Job Title: Manager, HR Relationship Job ID: 104658 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A leader in brokerage...

    8 hours ago from TD Ameritrade
     
  • Analyst II Market Risk (104632-1) 

    NEW

    TD Ameritrade

     - Fort Worth, TX

    Job Title: Analyst II, Market Risk Job ID: 104632-1 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...

    8 hours ago from TD Ameritrade
     
  • Investment Consultant Philadelphia PA (104663) 

    NEW

    TD Ameritrade

     - Philadelphia, PA

    Job Title: Investment Consultant - Philadelphia, PA Job ID: 104663 Job Location: Philadelphia, Pennsylvania Employment Type: Full-Time Contract Type: Regular Manager Level: Second...

    8 hours ago from TD Ameritrade
     
  • Custody Ops Rep Middle Office (104650) 

    NEW

    TD Ameritrade

     - Omaha, NE

    Job Title: Custody Ops Rep, Middle Office Job ID: 104650 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Support Level A leader in...

    3 days ago from TD Ameritrade
     
  • Desktop Support Representative (104624) 

    NEW

    TD Ameritrade

     - Denver, CO

    Job Title: Desktop Support Representative Job ID: 104624 Job Location: Denver, Colorado Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...

    3 days ago from TD Ameritrade
     
  • Manager Retail Cross Sell Support Programs (104635-1) 

    NEW

    TD Ameritrade

     - Fort Worth, TX

    Job Title: Manager, Retail Cross Sell Support Programs Job ID: 104635-1 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A...

    3 days ago from TD Ameritrade
     
  • Manager Retail Cross Sell Support Programs (104635) 

    NEW

    TD Ameritrade

     - Omaha, NE

    Job Title: Manager, Retail Cross Sell Support Programs Job ID: 104635 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A...

    3 days ago from TD Ameritrade
     
  • Sr Administrative Assistant (104611) 

    NEW

    TD Ameritrade

     - Chicago, IL

    Job Title: Sr Administrative Assistant Job ID: 104611 Job Location: Chicago, Illinois Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...

    3 days ago from TD Ameritrade
     
  • Investment Consultant Miami FL (104647) 

    NEW

    TD Ameritrade

     - Miami, FL

    Job Title: Investment Consultant - Miami, FL Job ID: 104647 Job Location: Miami, Florida Employment Type: Contract Type: Regular Manager Level: Second Level Professional A leader...

    3 days ago from TD Ameritrade
     
  • Investment Consultant Chesterfield MO (104640) 

    NEW

    TD Ameritrade

     - Chesterfield, MO

    Job Title: Investment Consultant - Chesterfield, MO Job ID: 104640 Job Location: Chesterfield, Missouri Employment Type: Full-Time Contract Type: Regular Manager Level: Second...

    3 days ago from TD Ameritrade
     
  • Sr Software Developer (104633) 

    NEW

    TD Ameritrade

     - Omaha, NE

    Job Title: Sr Software Developer Job ID: 104633 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional A leader...

    3 days ago from TD Ameritrade
     
  • Software Development Consultant (104634) 

    NEW

    TD Ameritrade

     - Jersey City, NJ

    Job Title: Software Development Consultant Job ID: 104634 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A leader...

    3 days ago from TD Ameritrade
     
  • Sr Analyst HRIS PeopleSoft (104582)

    TD Ameritrade

     - Omaha, NE

    Job Title: Sr Analyst, HRIS PeopleSoft Job ID: 104582 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional A...

    4 days ago from TD Ameritrade
     
  • Analyst II Market Risk (104632)

    TD Ameritrade

     - Omaha, NE

    Job Title: Analyst II, Market Risk Job ID: 104632 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A leader...

    4 days ago from TD Ameritrade
     
  • Investment Consultant Campbell CA (104631)

    TD Ameritrade

     - Campbell, CA

    Job Title: Investment Consultant - Campbell, CA Job ID: 104631 Job Location: Campbell, California Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...

    4 days ago from TD Ameritrade
     
  • Senior Middleware Support Engineer (104612)

    TD Ameritrade

     - Jersey City, NJ

    Job Title: Senior Middleware Support Engineer Job ID: 104612 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A...

    4 days ago from TD Ameritrade
     
  • Representative Retail Trading (104630)

    TD Ameritrade

     - Chicago, IL

    Job Title: Representative, Retail Trading Job ID: 104630 Job Location: Chicago, Illinois Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional...

    4 days ago from TD Ameritrade
     
  • Business Development Specialist Corte Madera CA (104623)

    TD Ameritrade

     - Corte Madera, CA

    Job Title: Business Development Specialist - Corte Madera, CA Job ID: 104623 Job Location: Corte Madera, California Employment Type: Full-Time Contract Type: Regular Manager...

    5 days ago from TD Ameritrade
     
  • Administrative Assistant (104622)

    TD Ameritrade

     - Jersey City, NJ

    Job Title: Administrative Assistant Job ID: 104622 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional...

    5 days ago from TD Ameritrade
     
  • Investment Consultant Tampa FL (104628)

    TD Ameritrade

     - Tampa, FL

    Job Title: Investment Consultant - Tampa, FL Job ID: 104628 Job Location: Tampa, Florida Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional...

    5 days ago from TD Ameritrade
     
  • Investment Consultant Omaha NE (National Branch Plains States) (104626)

    TD Ameritrade

     - Omaha, NE

    Job Title: Investment Consultant - Omaha, NE (National Branch - Plains States) Job ID: 104626 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular...

    5 days ago from TD Ameritrade
     
  • Investment Consultant Fort Worth TX (National Branch East) (104627)

    TD Ameritrade

     - Fort Worth, TX

    Job Title: Investment Consultant - Fort Worth, TX (National Branch - East) Job ID: 104627 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager...

    5 days ago from TD Ameritrade
     
  • Investment Consultant Beachwood OH (104625)

    TD Ameritrade

     - Cleveland, OH

    Job Title: Investment Consultant - Beachwood, OH Job ID: 104625 Job Location: Cleveland, Ohio Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...

    5 days ago from TD Ameritrade
     
  • Quality Assurance Engineer (104610)

    TD Ameritrade

     - Ann Arbor, MI

    Job Title: Quality Assurance Engineer Job ID: 104610 Job Location: Ann Arbor, Michigan Employment Type: Full-Time Contract Type: Regular Manager Level: First Level Professional A...

    6 days ago from TD Ameritrade
  • Chase Wealth Management - Market Director - Orange County 

    NEW

    JPMorgan Chase

     - Irvine, CA

    Chase Wealth Management Market Director Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global...

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

    NEW

    JPMorgan Chase

     - Westerville, OH

    Chase Wealth Management Market Director Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global...

    9 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Rolling Hills Estates 

    NEW

    JPMorgan Chase

     - Long Beach, CA

    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...

    9 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Irvine 

    NEW

    JPMorgan Chase

     - Santa Ana, CA

    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...

    9 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Woodland Hills, CA

    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...

    9 hours ago from JPMorgan Chase & Co
     
  • AM Investments Business Operations Project Manager, Associate/VP, Columbus, OH/Newark,DE/NY, NY 

    NEW

    JPMorgan Chase

     - Newark, DE

    J.P. Morgan Global Wealth Management provides a full spectrum of investment and other product solutions to high net worth and ultra high net worth investors. We offer broad...

    9 hours ago from JPMorgan Chase & Co
     
  • Asset Management - Emerging High Net Worth - Investment Assistant 

    NEW

    JPMorgan Chase

     - Dallas, TX

    The Emerging High Net Worth business is a part of JPMorgan's Private Wealth Management business. Private Wealth Management (PWM) is a wealth management business of JPMorgan...

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

    NEW

    JPMorgan Chase

     - Baton Rouge, LA

    J.P. Morgan Private Bank Investment Specialist Job Description J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments...

    1 day ago from JPMorgan Chase & Co
     
  • Cross Line of Business Emerging Risk - Audit Manager - Risk Management/Compliance 

    NEW

    JPMorgan Chase

     - Columbus, OH

    About JP Morgan Chase & Co. JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.2 trillion. The firm is a leader in investment banking,...

    1 day ago from JPMorgan Chase & Co
     
  • CCB Fiduciary Risk - Chase Wealth Management - Executive Director - New York, NY or 

    NEW

    JPMorgan Chase

     - Columbus, OH

    Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...

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

    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,...

    3 days ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Westlake HEB Branch - Westlake Hills 

    NEW

    JPMorgan Chase

     - West Lake Hills, TX

    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...

    3 days ago from JPMorgan Chase & Co
     
  • Asset Management Latin America Private Bank Client Service Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

    About JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include...

    3 days ago from JPMorgan Chase & Co
     
  • Investment Support Associate - Broker Service Center - FINRA Series 7 Required

    JPMorgan Chase

     - San Antonio, TX

    Chase Investment Services - Investment Support Associate I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted...

    4 days ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Safeway

    JPMorgan Chase

     - Olympia, WA

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management - Downtown

    JPMorgan Chase

     - San Francisco, CA

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Project Manager II - Retail Brokerage

    JPMorgan Chase

     - Columbus, OH

    The Supervision Project Manager will represent Supervision in the development and management of business related projects and applications. Beyond defining project requirements...

    5 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management - San Jose, CA and Surrounding Area

    JPMorgan Chase

     - Gilroy, CA

    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...

    5 days ago from JPMorgan Chase & Co
     
  • Supervisory Officer - Chase Wealth Mgmt - Supervision and Sales Mgmt

    JPMorgan Chase

     - Columbus, OH

    Chase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...

    5 days ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Market Director

    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 &...

    6 days ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Baseline & Gilbert Fry's

    JPMorgan Chase

     - Gilbert, 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...

    6 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - St. Charles

    JPMorgan Chase

     - Saint Charles, IL

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    6 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Issaquah, WA (Issaquah)

    JPMorgan Chase

     - Issaquah, WA

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

    JPMorgan Chase

     - Los Angeles, CA

    Vice President, Relationship Manager Senior, Corporate Client Banking - Western Region -General Industries Group, Los Angeles Description: The position is a corporate banking...

    7 days ago from JPMorgan Chase & Co
     
  • GWM - Suitability - Project Manager - Associate

    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 & Co is part of the Asset & Wealth Management...

    7 days ago from JPMorgan Chase & Co
  • Compliance Officer 

    NEW

    BNY Mellon

     - Lake Mary, FL

    scenes to power transformational change for broker-dealers, registered investment ... Five Years AML /Compliance / KYC experience preferred...

    21 hours ago from Job.com
     
  • Compliance Officer

    Streetid

     - Chicago, IL

    Compliance Manager to assist the Chief Compliance Officer in overseeing and carrying ... adviser, investment company and broker-dealer. Primary responsibilities are...

    6 days ago from The Ladders
     
  • Compliance Officer

    Global Leader In Investment Management

     - Jersey City, NJ

    and inquiries; Design and deliver targeted compliance training; Research, investigate ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...

    7 days ago from IvyExec
     
  • Compliance Officer

    Bank/broker Dealer

     - New York City, NY

    * Looking for a compliance officer for Trade Finance (Letters of Credit) * Background with AML * Risk experience , , * 5-10 years compliance * AML and Trade Finance for Letters of...

    11 days ago from Green Key Resources
     
  • Compliance Officer

    Packerland Brokerage Services

     - Green Bay, WI

    industry Experience in the Broker-Dealer or financial industry back office, ... selling agreements, due diligence,broker dealerbroker-dealerbroker/dealer, BD,...

    12 days ago from CareerRookie.com
  • Compliance Analyst, Office of General Counsel 

    NEW

    Finra

     - Washington, DC

    and correspondence. Interfaces with FINRA employees, management and others and ... and effective communications with FINRA employees and managers on sensitive...

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  • Financial Sales Leader 

    NEW

    Ameriprise Financial

     - Las Vegas, NV

    FINRA (NASD) Licenses required: Series 7, 63/66, 65/66 ... - Demonstrated track record of followingcompliance policies, principles, and...

    1 hour ago from Jofdav
     
  • Financial Sales and Support Associate 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    and documenting information to ensure compliance requirements are met. * Liaison ... Maintain all appropriateFINRA/other licenses and requirements up to date...

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  • Business Development Manager 

    NEW

    Pf1professional Services

     - Clearwater, FL

    all meeting activity for performance and compliance evaluation Maintain continual ... practices must be incompliance with the FINRA Rules of Fair Practice Guidelines...

    3 hours ago from Jobvertise
     
  • Analyst - Advisory Compliance 

    NEW

    Asian American Lawyers Association of Massachusetts (aalam)

     - San Diego, CA

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    5 hours ago from The Asian American Lawyers Association...
     
  • Home Claims Representative-Catastrophe Outsourcing 

    NEW

    Ameriprise

     - De Pere, WI

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    5 hours ago from Ameriprise
     
  • Associate Branch Manager 

    NEW

    Ameriprise Financial

     - New Orleans, LA

    college degree, MBA preferred. FINRA Series 7, 63 & 66. Series 9/10 & 24 ... Excellent compliance record and knowledge of compliance requirements.Develop book of...

    5 hours ago from Ameriprise Financial, Inc.
     
  • Branch Manager 

    NEW

    Ameriprise Financial

     - Birmingham, AL

    FINRA Series 7, 24, 63/66, 65/66 and 9/10 required ... registration and compliance requirements; adhere to firm's policies and procedures and...

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  • PNCI - REGIONAL SUPERVISORY OFFICER 

    NEW

    PNC

     - Louisville, KY

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    6 hours ago from PNC Bank
     
  • Capital Markets Sales Assistant 

    NEW

    PNC

     - Philadelphia, PA

    Timely and accurate input of trade tickets Compliance documentation and reporting ... is a fast-paced environment is preferred FINRA Series 7 & Series 63 licenses are...

    6 hours ago from PNC Bank
     
  • PNCI - Central Review Principal 

    NEW

    PNC

     - Cleveland, OH

    6 licensed representatives meets PNCI Compliance and governing body regulations and ... industry, to include knowledge of compliance regulations, investment market, securities...

    6 hours ago from PNC Bank
     
  • Consultant, Internet Bus Cnslt 

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    Nationwide Insurance

     - Columbus, OH

    partners to understand rate, regulatory and compliance implications to the quote and bind ... Annuities licensing and/or FINRA 6 & 26 Securities registration, CLU,...

    7 hours ago from Nationwide Insurance
     
  • Compliance Officer 

    NEW

    Alliancebernstein

     - New York City, NY

    The Compliance person ("Compliance") will assist in the review, ... compliance and business groups to providecompliance advisory services. Providing...

    7 hours ago from Alliancebernstein
     
  • AVP / VP - Fixed Income Surveillance 

    NEW

    Drum Associates

     - New York City, NY

    Officer (AVP/VP level) in their Ethics & Compliance Department. This role will be ... and/or self-regulatory organization in a compliance or regulatory related position...

    8 hours ago from The Ladders
     
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    NEW

    Randstad

     - Charlotte, NC

    business cases for compliance with internal, FINRA , and SEC suitability and replacement ... Working hours: First Shift MUST HAVE: FINRA Series 7 and 24 license required. FINRA...

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  • Investment Consultant Philadelphia PA (104663) 

    NEW

    TD Ameritrade

     - Philadelphia, PA

    to convey key messages * Adhere to all compliance/risk procedures, follows corporate and ... memberFINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...

    8 hours ago from TD Ameritrade
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Rolling Hills Estates 

    NEW

    JPMorgan Chase

     - Long Beach, CA

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    9 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Irvine 

    NEW

    JPMorgan Chase

     - Santa Ana, CA

    registration required in addition to meeting FINRA continuing education requirements, ... and Variable Annuity License required Strong compliance record in prior position(s)...

    9 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Woodland Hills, CA

    registration required in addition to meeting FINRA continuing education requirements, ... and Variable Annuity License required Strong compliance record in prior position(s)...

    9 hours ago from JPMorgan Chase & Co
     
  • AM Investments Business Operations Project Manager, Associate/VP, Columbus, OH/Newark,DE/NY, NY 

    NEW

    JPMorgan Chase

     - Newark, DE

    Investors, Business Leaders, Legal and Compliance. The team coordinates information, ... project management software experience FINRA Series 7 or 99 licensing required within 1...

    9 hours ago from JPMorgan Chase & Co
     
  • LEGAL ADMINISTRATIVE ASSISTANT WITH FINANCE INDUSTRY EXPERIENCE 

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    Dm Stone Jobsinbrokerage.com

     - San Francisco, CA

    minutes, compliance policies and procedures, compliance certifications and compliance ... documentation requests Update and maintain compliance bulletins Prepare and process...

    9 hours ago from Net-Temps
     
  • Director, Compliance 

    NEW

    Jackson National Life Insurance Company

     - Lansing, MI

    Lead and/or support Compliance initiatives and complete special projects as assigned ... insurance and/or financial services compliance experience. FINRA Series 6 or 7 license a...

    10 hours ago from Jackson National Life Insurance Company
     
  • RVP National Accounts 

    NEW

    Jackson National Life Insurance Company

     - Denver, CO

    Jackson internal/external sales, legal/compliance and marketing. Facilitate ... Accounts; Bachelors Degree; andFINRA Series 6 or 7. Jackson offers an outstanding...

    10 hours ago from Jackson National Life Insurance Company
     
  • Merrill Edge Supervision Business Support Analyst 

    NEW

    Bank of America

     - Jacksonville, FL

    Element and all Learning Mandates * FINRA CE compliance * Management of the Supervisor ... consolidation, personnel processes, audit/compliance, premises, and coordination of...

    10 hours ago from Bank of America
     
  • Compliance Specialist III - Advertising Review 

    NEW

    Raymond James

     - Tampa, FL

    reviews, mitigating risk and providing compliance support within the Compliance ... Skill in: Conducting and analyzing very complex compliance reviews and/or materials to ide...

    10 hours ago from Raymond James
  • Counsel - Office of General Counsel, Regulatory Practice & Policy 

    NEW

    Finra

     - Washington, DC

    Counsel opening with the Office of General Counsel, Regulatory Practice & Policy Group ... regulatory initiatives. * Represent FINRA before industry groups. * Prepare...

    55 minutes ago from FINRA
     
  • Enforcement Counsel 

    NEW

    Finra

     - Rockville, MD

    FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... relevant rules and regulations thereunder, FINRA's rules, MSRB Rules, and FINRA's Code...

    55 minutes ago from FINRA
     
  • Senior Counsel - Market Regulation 

    NEW

    Finra

     - Chicago, IL

    The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual ... or assist in representing the FINRA in disciplinary hearings as its staff attorney,...

    55 minutes ago from FINRA
     
  • Private Banking Wealth Management Lawyer 

    NEW

    Multinational Financial Services Holding Company

     - New York City, NY

    and placement agent activities. The Attorney will also review marketing ... risks, and strategic initiatives. TheAttorney will assist in completing various...

    13 hours ago from IvyExec
     
  • A&Q Attorney 

    NEW

    UBS Ag

     - New York City, NY

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    14 hours ago from Global Compliance Jobs
     
  • Vice President & Chief Counsel - Data Initiatives 

    NEW
    Newark, NJ

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    17 hours ago from IvyExec
     
  • Senior Counsel - General Brokerage Services 

    NEW

    Global Leader In Investment Management

     - Jersey City, NJ

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    17 hours ago from IvyExec
     
  • VP, Attorney 

    NEW

    Global Investment Solutions Provider

     - Newport Beach, CA

    and able to obtain Registered In-House Counsel status in California or New York, as ... Company tax rules is a plus Knowledge of FINRA rules, NYSE listed company rules and...

    17 hours ago from IvyExec
     
  • Compliance Examiner 

    NEW

    Finra

     - New York, NY

    counsel. Evaluates requests of firms seeking FINRA's position on whether a proposed ... executives, consultants/counsel and FINRA management, including information...

    21 hours ago from Job.com
     
  • Enforcement Counsel 

    NEW

    Finra

     - New York City, NY

    FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA...

    1 day ago from Disabled Persons
     
  • 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...

    1 day ago from Mission Critical Services Corp.
     
  • Private Banking Wealth Management Lawyer 

    NEW

    Credit Suisse

     - New York City, NY

    and placement agent activities. The Attorney will also review marketing ... risks, and strategic initiatives. TheAttorney will assist in completing various...

    2 days ago from NY City Works
  • Investment Adviser Litigation Counsel 

    NEW

    Hamburgerlaw Firm

     - Englewood, NJ

    clients and render valuable strategic counsel; Effectively drafting ... communication; attorney must be comfortable communicating with sophisticated clients...

    3 days ago from The Ladders
     
  • Attorney - Investment Mgmt- Capital Markets

    Bank of America

     - New York City, NY

    Description: Provides general legal counsel to AMGs investment management ... of the Securities Act of 1933, SEC and FINRA rules and regulations. Familiarity with...

    4 days ago from NY City Works
     
  • Special Investigations- Attorney

    Morgan Stanley

     - New York City, NY

    employment arbitrations. -Manage outside counsel, including overseeing budgets and expenses. -Maintain regular reports and frequent dialogue with Special Investigations Unit team...

    5 days ago from NY City Works
     
  • Attorney - Investment Mgmt

    Bank of America

     - Boston, MA

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

    5 days ago from EasternMass
     
  • Compliance Examiner - Member Regulation, Membership Application Program

    Finra

     - New York City, NY

    executives, consultants/ counsel and FINRA management, including information ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA is...

    5 days ago from Disabled Persons
     
  • Compliance Examiner - Member Regulation, Membership Application Program

    Finra

     - New York, NY

    staff, enforcement attorneys and other FINRA staff in the evaluation of ... executives, consultants/ counsel andFINRA management, including information...

    7 days ago from FINRA
     
  • Vice President & Chief Counsel Data Initiatives

    Newark, NJ

    This senior attorney will provide counsel and advice to various internal ... state insurance laws and regulations,FINRA Rules, the Investment Company Act of...

    7 days ago from IvyExec
     
  • Senior Vice President & Deputy Chief, Enforcement

    Independent Securities Regulator

     - Rockville, MD

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

    7 days ago from IvyExec