EMPLOYMENT TUESDAY at BrokeAndBroker.com

March 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

    AIG Financial Advisors

     - Columbia, SC

    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.

    10 minutes ago from BrokerHunter.com
     
  • Financial Advisor 

    NEW

    Mwws

     - Hazelwood, MO

    Job Description: Financial Advisor Work Location: Hazelwood, Missouri, United States We are seeking an uncommon professional to join our team as a Financial Advisor. Job...

    7 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    American International Group

     - Columbia, SC

    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.

    9 hours ago from American International Group
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Rockville, MD

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

    23 hours ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    AXA Advisors

     - Cheektowaga, NY

    Company Description: AXA Advisors, LLC is one of the largest financial firms in the U.S. looking for highly motivated, results-oriented individuals who are interested in...

    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!...

    3 days ago from Jobg8
     
  • Financial Advisor

    AXA Advisors

     - Buffalo, NY

    Company Description: AXA Advisors, LLC is one of the largest financial firms in the U.S. looking for highly motivated, results-oriented individuals who are interested in...

    4 days ago from ZipRecruiter
     
  • 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!...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    Wamhoff Financial Planning

     - St. Charles, MO

    Job Description: Looking for a financial advisor interested in a career with growth potential and sales success! If you're motivated and looking to succeed, join a firm that...

    4 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...

    4 days ago from ZipRecruiter
     
  • Financial Advisor

    Peoples Bancorp

     - Beachwood, OH

    A full service financial advisor who: actively searches for new clients both within and outside of the Bank's current customer base, meets with prospective clients and recommends...

    5 days ago from Peoples Bancorp Inc.
     
  • Financial Advisor

    Ninjob | Employment Marketing

     - Atlanta, GA

    Financial Advisor WealthSpan is an independent insurance, investment and financial services firm that specializes in offering comprehensive financial planning and wealth...

    5 days ago from Ninjob | Employment Marketing
     
  • 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...

    5 days ago from ZipRecruiter
     
  • 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,...

    5 days ago from ZipRecruiter
     
  • Financial Advisor

    Wamhoff Financial Planning

     - St. Charles, MO

    Job Description: Looking for a financial advisor interested in a career with growth potential and sales success! If youre motivated and looking to succeed, join a firm that offers...

    5 days ago from ZipRecruiter
     
  • Financial Advisor

    First Command Financial Services

     - Hagatna, GU

    First Command Financial Services is committed to helping military families get their financial lives squared away and pursue their goals and dreams through coaching and guidance...

    6 days ago from First Command Financial Services, Inc.
     
  • Financial Advisor

    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...

    8 days ago from WisdomJobs.us
     
  • Financial Advisor

    Cornerstone Financial Group

     - Seattle, 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...

    8 days ago from ZipRecruiter
     
  • Financial Advisor

    Impacte

     - Chicago, IL

    Job Description: What if your next career could change lives? What if you could succeed by helping others succeed? As a financial advisor, you'll have the opportunity to turn...

    10 days ago from ZipRecruiter
     
  • Financial Advisor

    Watertown, NY

    Financial AdvisorThe Financial Advisor is responsible for developing and building relationships with new and existing clients through building a strong referral network and by...

    10 days ago from None
     
  • Financial Advisor

    MFP Strategies

     - Bethlehem, PA

    Position Description: Financial Advisor will provide clients with comprehensive financial advisory and wealth management services. Primary responsibilities include evaluating...

    11 days ago from MFP Strategies
     
  • Financial Advisor

    PNC

     - Franklin, PA

    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...

    11 days ago from PNC Bank
     
  • Financial Advisor

    Peoples Bancorp

     - Wellston, OH

    A full service financial advisor who: actively searches for new clients both within and outside of the Bank's current customer base, meets with prospective clients and recommends...

    12 days ago from Peoples Bancorp Inc.
     
  • Financial Advisor

    Rehmann

     - Boca Raton, FL

    Rehmann Financial, a member of Rehmann, is a wealth management firm offering integrated advice in all areas of our clients' financial lives. Because most life goals have a...

    12 days ago from Rehmann
     
  • Financial Advisor

    Geary Kornelik & Associates

     - Chicago, IL

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

    13 days ago from ZipRecruiter
  • Branch Manager 

    NEW

    Keybank

     - Cincinnati, OH

    ABOUT KEY: Cleveland-based KeyCorp is one of the nation's largest bank-based financial services companies, with assets of approximately $92.9 billion. Key companies provide...

    31 minutes ago from Money Jobs
     
  • Branch Manager 

    NEW

    Ameriprise Financial

     - Lake Zurich, IL

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

    2 hours ago from Jofdav
     
  • Branch Manager 

    NEW

    Ameriprise Financial

     - San Francisco, CA

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

    2 hours ago from Jofdav
     
  • Branch Manager 

    NEW

    M&t Bank

     - Hamburg, NY

    Retail Banking Division: Full Time Branch Manager 40 Hours Per Week Camp Road Branch Hamburg, New York Basic Function The Branch Manager is responsible for overall profitability...

    1 day ago from Disabled Persons
     
  • Branch Manager 

    NEW
    Buffalo, NY

    DESCRIPTION/RESPONSIBILITIES:Retail Banking Division: Full Time Branch Managers40 Hours Per WeekTops Niagara BranchBuffalo, New YorkBasic FunctionThe Branch Manager is responsible...

    2 days ago from None
     
  • Branch Manager

    Keybank

     - Kerhonkson, NY

    ABOUT KEY: Cleveland-based KeyCorp is one of the nation's largest bank-based financial services companies, with assets of approximately $92.9 billion. Key companies provide...

    4 days ago from Money Jobs
     
  • Branch Manager

    M&T Bank

     - Easton, MD

    Job Posting: Jan 20, 2015, 3:07:19 PM Unposting Date: Ongoing Retail Banking Division Branch Manager Glebe Road Branch Easton, MD Basic Function The Branch Manager is responsible...

    20 days ago from Money Jobs
  • Portfolio Consultant - Schwab Private Client, Orlando(1215-21221) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    14 hours ago from Charles Schwab Corporation
     
  • Centralized Supervision Manager - Quality Assurance(1107-20613) 

    NEW

    Charles Schwab Corporation

     - Denver, CO

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    14 hours ago from Charles Schwab Corporation
     
  • Margins Operations Representative(0903-19444) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    14 hours ago from Charles Schwab Corporation
     
  • Managed and Advised Account Operations Specialist(0309-22298) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    20 hours ago from Charles Schwab Corporation
     
  • VP, Financial Consultant - Southlake, TX(20150303-686) 

    NEW

    Charles Schwab Corporation

     - Southlake, TX

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    1 day ago from Charles Schwab Corporation
     
  • Client Service Specialist - Galleria(20150220-532) 

    NEW

    Charles Schwab Corporation

     - Houston, TX

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    1 day ago from Charles Schwab Corporation
     
  • Senior Manager, Supervisory Risk and Controls(1107-20598) 

    NEW

    Charles Schwab Corporation

     - Denver, CO

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    1 day ago from Charles Schwab Corporation
     
  • Financial Consultant Assistant - Oklahoma City, OK or Tulsa, OK(0929-19866) 

    NEW

    Charles Schwab Corporation

     - Tulsa, OK

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    1 day ago from Charles Schwab Corporation
     
  • Sr. Operations Specialist, Access & Entitlements Integration Team(20150219-525) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    1 day ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Dallas(20150123-190) 

    NEW

    Charles Schwab Corporation

     - Dallas, TX

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    2 days ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Kenilworth, IL(20150303-683) 

    NEW

    Charles Schwab Corporation

     - Kenilworth, IL

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    3 days ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Greensboro, NC(20150303-685) 

    NEW

    Charles Schwab Corporation

     - Greensboro, NC

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    3 days ago from Charles Schwab Corporation
     
  • Sr. Operations Specialist, Access & Entitlements Integration Team(20150219-524) 

    NEW

    Charles Schwab Corporation

     - Denver, CO

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    3 days ago from Charles Schwab Corporation
     
  • Licensed New Accounts Associate(0116-21519) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    3 days ago from Charles Schwab Corporation
     
  • Cashiering Team Manager(20150227-636) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    3 days ago from Charles Schwab Corporation
     
  • Financial Consultant Assistant - West Hartford, CT(0305-22252)

    Charles Schwab Corporation

     - West Hartford, CT

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    4 days ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Chicago (Wacker Drive)(20150228-648)

    Charles Schwab Corporation

     - Chicago, IL

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    4 days ago from Charles Schwab Corporation
     
  • Vice President, Branch Manager - Philadelphia, PA(20150210-372)

    Charles Schwab Corporation

     - Philadelphia, PA

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    4 days ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Cupertino, CA(20150129-252)

    Charles Schwab Corporation

     - Cupertino, CA

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    5 days ago from Charles Schwab Corporation
     
  • Managing Director, Client Service and Support(20150210-378)

    Charles Schwab Corporation

     - Phoenix, AZ

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    5 days ago from Charles Schwab Corporation
     
  • Conversion Consultant(20150213-466)

    Charles Schwab Corporation

     - Orlando, FL

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    5 days ago from Charles Schwab Corporation
     
  • Manager - AML/OFAC Monitoring Strategy Team(1212-21212)

    Charles Schwab Corporation

     - Phoenix, AZ

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    5 days ago from Charles Schwab Corporation
     
  • Director AML Compliance/Deputy AML Compliance Officer(0902-19422)

    Charles Schwab Corporation

     - Lone Tree, CO

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    5 days ago from Charles Schwab Corporation
     
  • Director AML Compliance/Deputy AML Compliance Officer(0902-19421)

    Charles Schwab Corporation

     - Phoenix, AZ

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    5 days ago from Charles Schwab Corporation
     
  • Vice President. Financial Consultant - Santa Barbara, CA(0910-19578)

    Charles Schwab Corporation

     - Santa Barbara, CA

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    5 days ago from Charles Schwab Corporation
  • Private Client Advisor - Chase Wealth Management - Spring, Texas Area 

    NEW

    JPMorgan Chase

     - Spring, TX

    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...

    6 hours ago from JPMorgan Chase & Co
     
  • Supervisory Officer - Chase Wealth Mgmt - Supervision and Sales Mgmt 

    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...

    6 hours ago from JPMorgan Chase & Co
     
  • Asset Management, Client Service Associate, Emerging High Net Worth, Series 7 & 63 Required

    NEW

    JPMorgan Chase

     - Chicago, IL

    J.P. Morgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net...

    6 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor 

    NEW

    JPMorgan Chase

     - Deer Park, NY

    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...

    6 hours ago from JPMorgan Chase & Co
     
  • Asset Management - Private Bank - Investment Specialist - VP - Emerging High Net Worth 

    NEW

    JPMorgan Chase

     - New York City, NY

    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,...

    6 hours ago from JPMorgan Chase & Co
     
  • Asset Management - Private Bank - Market Manager - Emerging High Net Worth - Dallas or Houston 

    NEW

    JPMorgan Chase

     - Dallas, TX

    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,...

    6 hours ago from JPMorgan Chase & Co
     
  • Asset Management, Client Service Associate, Private Banking, Series 7 & 63 Required 

    NEW

    JPMorgan Chase

     - Chicago, IL

    J.P. Morgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net...

    6 hours ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Wheeling, WV

    * 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...

    1 day ago from JPMorgan Chase
     
  • Anticipated Private Client Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Pewaukee, WI

    * 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...

    1 day ago from JPMorgan Chase
     
  • Anticipated Financial Advisor - Chase Wealth Management - Milwaukee Metro Area 

    NEW

    JPMorgan Chase

     - Brookfield, WI

    * 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...

    1 day ago from JPMorgan Chase
     
  • Private Client Advisor - Chase Wealth Management - Frisco/Plano Area 

    NEW

    JPMorgan Chase

     - Frisco, TX

    * 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...

    1 day ago from JPMorgan Chase
     
  • Private Client Advisor - Chase Wealth Management - Fort Worth (Downtown Area) 

    NEW

    JPMorgan Chase

     - Fort Worth, TX

    * 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...

    1 day ago from JPMorgan Chase
     
  • Private Client Advisor - Chase Wealth Management - Flower Mound Area 

    NEW

    JPMorgan Chase

     - Lewisville, TX

    * 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...

    1 day ago from JPMorgan Chase
     
  • Private Client Advisor - Chase Wealth Management - Katy, Texas Area 

    NEW

    JPMorgan Chase

     - Katy, TX

    * 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...

    1 day ago from JPMorgan Chase
     
  • Private Client Advisor - Chase Wealth Management - Arlington, Texas Area 

    NEW

    JPMorgan Chase

     - Arlington, TX

    * 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...

    1 day ago from JPMorgan Chase
     
  • In-Store Personal Banker - Hancock HEB Branch 

    NEW

    JPMorgan Chase

     - Austin, 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...

    1 day ago from JPMorgan Chase
     
  • In-Store Personal Banker - Round Rock HEB 

    NEW

    JPMorgan Chase

     - Round Rock, 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...

    1 day ago from JPMorgan Chase
     
  • Senior Client Service Associate (601/Associate Level) Private Banking - Series 7&63 - 

    NEW

    JPMorgan Chase

     - Houston, TX

    *J.P. Morgan Private Bank*is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net...

    1 day ago from JPMorgan Chase
     
  • Chase Wealth Management - Financial Advisor Associate - Norton, OH (Norton) 

    NEW

    JPMorgan Chase

     - Norton, OH

    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
     
  • Supervision Business Manager - Centralized Supervision - Consumer Banking 

    NEW

    JPMorgan Chase

     - Columbus, OH

    The Centralized Supervision Business Manager is responsible for defining Supervision's operational and technology vision; leading projects to provide clear direction in order to...

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

    NEW

    JPMorgan Chase

     - New York City, NY

    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
     
  • Investment Assistant - Emerging High Net Worth - Series 7 & 63 Required 

    NEW

    JPMorgan Chase

     - New York City, NY

    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
     
  • AM Investments Business Operations Project Manager, VP 

    NEW

    JPMorgan Chase

     - New York City, NY

    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...

    2 days ago from JPMorgan Chase
     
  • Chase Wealth Management - International Financial Services - Senior Financial Consultant (LICENSES & SECOND LANGUAGE FLUENCY REQUIRED Spanish, Portuguese and/or Mandarin/Cantonese) 

    NEW

    JPMorgan Chase

     - New York City, NY

    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 trillion and...

    2 days ago from JPMorgan Chase
     
  • Asset Management, Supervisory Manager Team Analyst 

    NEW

    JPMorgan Chase

     - Newark, DE

    JPMorgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth individuals and families...

    2 days ago from JPMorgan Chase
  • 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,...

    21 hours ago from IvyExec
     
  • Compliance Officer 

    NEW

    UBS Ag

     - Weehawken, NJ

    Activities, Personal Account Dealing, FINRA Outside Business Amendments and the ... system, whilst representing the Employee Compliance function at relevant global...

    2 days ago from Global Risk Jobs
     
  • Compliance Officer

    UBS - Finance Industry

     - Nashville, TN

    Activities, Personal Account Dealing, FINRA Outside Business Amendments and the ... system, whilst representing the Employee Compliance function at relevant global...

    6 days ago from VelvetJobs
     
  • Compliance Officer

    Craig Scott Capital

     - Uniondale, NY

    Compliance Officer Generalist with strong compliance background in retail Brokerage. ... Comprehensive understanding of SEC/FINRA Rules and Regulations...

    8 days ago from ZipRecruiter
     
  • Compliance Officer

    UBS Financial Services

     - Weehawken, NJ

    Activities, Personal Account Dealing, FINRA Outside Business Amendments and the ... system, whilst representing the Employee Compliance function at relevant global...

    10 days ago from UBS Financial Services
     
  • Compliance Officer

    UBS - Finance Industry

     - Weehawken, NJ

    Activities, Personal Account Dealing, FINRA Outside Business Amendments and the ... system, whilst representing the Employee Compliance function at relevant global...

    11 days ago from VelvetJobs
     
  • Compliance Officer

    E-trade Financial

     - Jersey City, NJ

    the registrations of ETFC's registered broker-dealers, registered investment adviser ... RESPONSIBILITIES t('12') t('5') The Compliance Officer's responsibilities would...

    16 days ago from Global Risk Jobs
     
  • Compliance Officer

    Robert Half Finance & Accounting

     - New York, NY

    broker-dealer, and its insurance agency. The Compliance Officer will work closely with the ... and registered investment adviser compliance Strong knowledge of FINRA and SEC...

    21 days ago from Robert Half Finance & Accounting
  • Compliance Examiner, Member Regulation

    Independent Securities Regulator

     - Atlanta, GA

    to determine quality, reliability and compliance with requirements. Assesses ... reports to broker-dealer executives and FINRA management, including information...

    7 days ago from IvyExec
     
  • Compliance Examiner, Member Regulation

    Financial Industry Regulatory Authority

     - Boca Raton, FL

    reports to broker-dealer executives and FINRA management, including information ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA...

    10 days ago from Financial Industry Regulatory...
     
  • Compliance Examiner, Member Regulation

    Finra

     - Boca Raton, FL

    and trading practices; and supervisory and compliance policies, procedures, internal ... reports to broker-dealer executives and FINRA management, including information...

    12 days ago from FINRA

Senior Counsel 

NEW

Global Leader In Investment Management

 - Jersey City, NJ

is seeking a Senior Counsel for its clearing broker-dealer based in Jersey City, New ... regulatory matters. A broad based broker dealer background is required.

21 hours ago from IvyExec
  • Assistant General Counsel / Lead Attorney 

    NEW

    Leading Provider of Insurance, Investments, and Retirement Products

     - Saint Petersburg, FL

    Position Description: The Assistant General Counsel/Lead Attorney is a recognized company ... issues and security breaches for RIA and broker-dealer ( BD ). Provides legal support...

    13 hours ago from IvyExec
     
  • General Counsel 

    NEW
    New York City, NY

    and obligations of the Bank, its broker-dealer and insurance subsidiaries; ... counsel to defend the Bank and oversee such counsel handling of such litigation.

    21 hours ago from IvyExec
     
  • Managing Director / Deputy General Counsel 

    NEW
    New York City, NY

    entities such as banking institutions, broker-dealers or FCMs, exchanges or ... of financial transactions for thousands of broker, dealers, custodian banks and asset...

    21 hours ago from IvyExec
     
  • Counsel - Investment Advisers Act 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    Financial the largest independent broker-dealer (IBD) in the managed account space. ... reports; - Working with regulators, outside counsel and independent experts from time to...

    1 day ago from Disabled Persons
  • Director, Enforcement Center 

    NEW

    Finra

     - New York City, NY

    during discussions with outside counsel, in settlement negotiations, and ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...

    1 day ago from Disabled Persons
     
  • Sr. Managing Counsel Job 

    NEW

    BNY Mellon

     - Jersey City, NJ

    scenes to power transformational change for broker-dealers, registered investment ... services and specific experience with a broker-dealer, registered investment advisor,...

    2 days ago from BNY Mellon
     
  • Attorney 3-Institutional Trust and Custody 

    NEW

    US Bank

     - St Paul, MN

    Minnesota and reports to IT&C's chief counsel. IT&C provides investment management, asset ... reinsurers, banks, trust companies, broker-dealers, futures commission merchants,...

    2 days ago from U.S. Bank
     
  • Corporate Associate Attorney--Investment Management

    Lsj

     - New York City, NY

    funds, private funds, investment advisers, broker dealers, insurance companies and other ... our clients, is based on our service as lead counsel on a number of complex financial...

    4 days ago from ZipRecruiter
     
  • Associate Corporate Counsel

    Broadridge Financial Solutions

     - Denver, CO

    (Description) The Legal Counsel will report directly to the Senior Legal Counsel, and will ... and affiliates, including broker dealer, SSAE16 audits and AML audits. Research...

    4 days ago from Broadridge Financial Solutions Inc.
     
  • Associate Corporate Counsel

    Broadridge | Forefield

     - Denver, CO

    (Description) The Legal Counsel will report directly to the Senior Legal Counsel, and will ... and affiliates, including broker dealer, SSAE16 audits and AML audits. Research...

    4 days ago from Broadridge | Forefield
     
  • Associate Corporate Counsel

    Leading Provider of Investor Communications

     - Denver, CO

    The Legal Counsel will report directly to the Senior Legal Counsel, and will support the M ... and affiliates, including broker dealer, SSAE16 audits and AML audits.

    4 days ago from IvyExec
     
  • Corporate Counsel
  • New York City, NY

    material terms. Manage and supervise outside counsel and legal assistants. Qualifications: ... with a leading law firm, investment bank, broker-dealer or company in the private...

    4 days ago from IvyExec
     
  • Enforcement Counsel - Rockville
  • Financial Industry Regulatory Authority (finra)

     - Potomac, MD

    individual for our Enforcement Counsel opening in Rockville, MD . Job ... the employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...

    5 days ago from Just Jobs
     
  • Enforcement Counsel

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    individual for our Enforcement Counsel opening in New York, NY . Job ... the employee) and to authorize their broker-dealers to provide FINRA with duplicate...

    5 days ago from Just Jobs
     
  • Legal Counsel Director - Employee Benefit Trust and Custody Services(20150123-161)

    Charles Schwab Corporation

     - Chicago, IL

    relating to registered Broker Dealers. * Experience in the negotiation of investment advisory agreements. * The ability to negotiate trust and custody agreements with Bank...

    5 days ago from Charles Schwab Corporation
     
  • Director - Legal Counsel(0923-19760)

    Charles Schwab Corporation

     - Chicago, IL

    all areas of Schwab's broker-dealer activities including equity and fixed income ... services company that includesbroker-dealer and investment adviser matters, and/or...

    5 days ago from Charles Schwab Corporation