EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog
March 17, 2015
Financial Advisor
NEWAIG
- Chicago, ILWhy 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...
Financial Advisor
NEWUSAA
- Tampa, FLApply Now! Candidates hired prior to February 2015 are eligible for a $3,000 sign on bonus & relocation assistance. We are currently seeking talented Licensed Financial Advisors...
Financial Advisor
NEWMwws
- Hazelwood, MOJob Description:Financial AdvisorWork Location: Hazelwood, Missouri, United StatesWe are seeking an uncommon professional to join our team as a Financial Advisor.Job...
Financial Advisor
NEWThrivent Financial
- Dayton, OHCompany Description Thrivent Financial isn t your typical Fortune organization We re a faith based membership organization committed to strengthening Christian communities by...
Financial Advisor
NEWFinancial Planning Services
- Boise, IDJob 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!...
Financial Advisor
NEWJoin 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...
Financial Advisor
NEWNorthern Financial Services
- Watertown, NYA progressive, fast-paced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment services team at Northern...
Financial Advisor
NEWHeritage Federal Credit Union
- Newburgh, INDescription:Heritage Financial Services, Inc., is seeking an uncommon professional to join our team as a Financial Advisor. Heritage Financial Services, Inc., is a wholly owned...
Financial Advisor
NEWPoppell Financial Group
- Orlando, FLCompany 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...
Financial Advisor
NEWAXA Advisors
- San Antonio, TXIf you are interested in a rewarding career, please email your resume to Our Vision, Your OpportunityNow is the time when the community needs financial awareness the most. In the...
Financial Advisor
AIG Financial Advisors
- Columbia, SCPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
American International Group
- Columbia, SCPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
Peoples Bancorp
- Beachwood, OHA 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...
Financial Advisor
Ninjob | Employment Marketing
- Atlanta, GAFinancial Advisor WealthSpan is an independent insurance, investment and financial services firm that specializes in offering comprehensive financial planning and wealth...
Financial Advisor
First Command Financial Services
- Hagatna, GUFirst 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...
Financial Advisor
Securian Financial Group
- San Mateo, CAFinancial Advisor Professionals Serving Professionals in a Thriving Industry True professionals have always sought like-minded individuals to serve their needs You have an...
Financial Advisor
Watertown, NYFinancial AdvisorThe Financial Advisor is responsible for developing and building relationships with new and existing clients through building a strong referral network and by...
Financial Advisor
MFP Strategies
- Bethlehem, PAPosition Description: Financial Advisor will provide clients with comprehensive financial advisory and wealth management services. Primary responsibilities include evaluating...
Financial Advisor
PNC
- Franklin, PAAs 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...
Financial Advisor
Rehmann
- Boca Raton, FLRehmann 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...
Financial Advisor
CUSO - Northern Financial Services
- Watertown, NYDESCRIPTION A progressive, fast-paced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment services team at...
Vice President, Financial Consultant - Sugar Land(0308-22296)
NEWCharles Schwab Corporation
- Houston, TXWe 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.
Vice President, Branch Manager - Lynnwood, WA(20150313-805)
NEWCharles Schwab Corporation
- Lynnwood, WAWe 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.
Director Disaster Recovery Governance(0316-22365)
NEWCharles Schwab Corporation
- Lone Tree, COWe 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.
Senior Product Manager- EFT Payments and Deposits(0203-21709)
NEWCharles Schwab Corporation
- San Francisco, CAWe 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.
Managing Director - Client Service & Support(0130-21623)
NEWCharles Schwab Corporation
- Phoenix, AZABOUT SCHWAB: 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...
Sr. Manager - Schwab Money Funds Product Management(1211-21183)
NEWCharles Schwab Corporation
- Lone Tree, COWe 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.
Vice President, Financial Consultant - Lynnwood, WA(20150311-766)
NEWCharles Schwab Corporation
- Lynnwood, WAWe 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.
Vice President, Financial Consultant - Denver, CO (Cherry Creek)(20150306-724)
NEWCharles Schwab Corporation
- Cherry Creek, COWe 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.
Vice President, Branch Manager - Stamford and Greenwich, CT(0313-22337)
NEWCharles Schwab Corporation
- Stamford, CTWe 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.
Financial Consultant Assistant - Lone Tree, CO(20150303-684)
NEWCharles Schwab Corporation
- Lone Tree, COWe 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.
Associate Financial Consultant - Winnetka, IL(20150311-774)
NEWCharles Schwab Corporation
- Winnetka, ILWe 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.
Senior Operations Manager - Pasadena/Glendale, CA(20150306-716)
NEWCharles Schwab Corporation
- Pasadena, CAWe 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.
Vice President, Financial Consultant - St. Petersburg, FL(1107-20592)
NEWCharles Schwab Corporation
- Saint Petersburg, FLWe 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.
Associate Financial Consultant - Jupiter, FL(1031-20477)
NEWCharles Schwab Corporation
- Tequesta, FLWe 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.
Cashiering Team Lead(20150309-731)
NEWCharles Schwab Corporation
- Orlando, FLWe 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.
Financial Consultant - Partcipant Investor Concierge - Austin, TX(20150115-76)
Charles Schwab Corporation
- Phoenix, AZWe 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.
Client Service Specialist- Cupertino, CA(20150311-765)
Charles Schwab Corporation
- Cupertino, CAWe 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.
Brokerage Service Representative - Advisor Custody & Trading(0219-22060)
Charles Schwab Corporation
- Orlando, FLWe 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.
Retirement Plan Services Compliance Manager(20150210-362)
Charles Schwab Corporation
- Englewood, COWe 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.
Vice President, Financial Consultant - Great Lakes Region(0311-22323)
Charles Schwab Corporation
- PennsylvaniaWe 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.
Client Reporting Specialist(0305-22242)
Charles Schwab Corporation
- Phoenix, AZWe 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.
Vice President, Financial Consultant - Great Lakes Region(0311-22323)
Charles Schwab Corporation
- Rochester, NYWe 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.
Estate Services Professional - Hotline(0311-22314)
Charles Schwab Corporation
- Phoenix, AZWe 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.
Associate - Technical Client Services(0306-22262)
Charles Schwab Corporation
- Raleigh, NCWe 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.
Investor Development Team Manager- Phoenix, AZ(20150306-718)
Charles Schwab Corporation
- Phoenix, AZOur Opportunity: What you'll do: What you have: , , Relocation Offered? No Work Schedule Days Languages English - spoken Current Licenses / Certifications FINRA Series 66, FINRA...
Investment Support Associate - Broker Service Center - FINRA Series 7 Required
NEWJPMorgan Chase
- San Antonio, TXChase Investment Services - Investment Support Associate I The Investment service centers have a strong reputation of superb customer service. We are a disciplined group devoted...
GWM - Supervisory Manager - VP
NEWJPMorgan Chase
- New York City, NYJ.P. Morgan Global Wealth Management Supervisory Manager - VP J.P. Morgan is a global leader in asset management services. J.P. Morgan Private Bank serves various client types...
Investment Support Associate - Broker Service Center
NEWJPMorgan Chase
- Chicago, ILChase Investment Services The Chase Investment Service Centers have a strong reputation of superb customer service. We are a disciplined group devoted to customer service and...
Fiduciary Supervision Officer - Chase Wealth Management
NEWJPMorgan Chase
- Columbus, OHPosition Summary: The primary purpose of the Fiduciary Supervision Officer is to coordinate account openings and ensure compliance with regulatory requirements and internal...
International Financial Services - Investment Associate - New York, NY (Bilingual Spanish Speaking Required)
NEWJPMorgan Chase
- New York City, NYChase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.3 trillion and...
Anticipated Financial Advisor - Chase Wealth Management
NEWJPMorgan Chase
- Peoria, ILFinancial 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...
Anticipated Chase Private Client Investment Associate - Farmington Hills, MI (Twelve Mile Country Club)
NEWJPMorgan Chase
- Bloomfield Hills, MIChase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.3 trillion and...
Chase Private Client Investment Associate
NEWJPMorgan Chase
- Dallas, TXChase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.3 trillion and...
In-Store Personal Banker
NEWJPMorgan Chase
- Lewis Center, OHPlay 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...
Anticipated Private Client Advisor - Chase Wealth Management - Central
NEWJPMorgan Chase
- Phoenix, AZAs a Financial Advisor you will acquire and deepen relationships with clients through comprehensive needs based marketing and promotion of investment products and services within...
Chase Private Client - Private Client Advisor- Bloomfield Hills, MI (West Maple and Cranbrook)
NEWJPMorgan Chase
- Bloomfield Hills, MIBusiness 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...
Anticipated Private Client Advisor - Chase Wealth Management
NEWJPMorgan Chase
- Santa Barbara, CAFinancial 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...
Anticipated Financial Advisor Associate - Chase Wealth Management
NEWJPMorgan Chase
- Bloomfield Hills, MIFinancial Advisor Associate Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...
Project Manager II - Retail Brokerage
JPMorgan Chase
- Columbus, OHThe Supervision Project Manager will represent Supervision in the development and management of business related projects and applications. Beyond defining project requirements...
AM Investments Business Operations Project Manager, Vice President, Columbus, OH/Newark,DE/NY, NY
JPMorgan Chase
- Newark, DEJ.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...
Chase Private Client - Private Client Advisor - New York, NY (Soho)
JPMorgan Chase
- New York City, NYBusiness 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...
Asset Management - Private Bank - Investment Assistant - Emerging High Net Worth - Series 7 & 63 Required
JPMorgan Chase
- New York City, NYThe 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...
Chase Private Client Investment Associate
JPMorgan Chase
- Denver, COChase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.3 trillion and...
Asset Management Latin America Private Bank Client Service Associate, NY (Portuguese Fluency Required)
JPMorgan Chase
- New York City, NYAbout 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...
Asset Management - Private Bank Service Manager, VP
JPMorgan Chase
- Houston, TXA Private Banking Client Service Manager (SM) is responsible for all of the activities of his/her team of approximately 10-20 Client Service Associates (CSAs). Each Service...
Asset Management - Private Bank - Market Manager - Emerging High Net Worth - Dallas or Houston
JPMorgan Chase
- Dallas, TXJ.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
Private Client Advisor - Chase Wealth Management - Spring, Texas Area
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...
Supervisory Officer - Chase Wealth Mgmt - Supervision and Sales Mgmt
JPMorgan Chase
- Columbus, OHChase 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...
Chase Private Client - Private Client Advisor
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...
Chase Private Client - Private Client Advisor- Germantown, WI (Germantown)
JPMorgan Chase
- Germantown, WIBusiness 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...
Compliance Officer
Global Leader In Investment Management
- Jersey City, NJand inquiries; Design and deliver targeted compliance training; Research, investigate ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...
Compliance Officer
Michael Page International - US
- New York City, NYand procedures. the role sits within the broker dealer and will encompass a variety of ... will have 5-7 years experience as a Compliance Officer in a generalist function...
Compliance Officer
E*TRADE Financial
- Jersey City, NJWe are seeking a Compliance Officer level position to oversee Central Compliance functions ... the registrations of ETFC's registered broker-dealers, registered investment adviser and...
Compliance Officer
Complistaff
- New York, NYPremiere Bank and Broker Dealer has an immediate interest to hire a Compliance Officer to ... Client seekscompliance professional with 5-7+ years of Bank Compliance Experience...
Chief Compliance Officer
NEWInternational Market Recruiters
- New York, NYQualifications:10 plus years of Extensive US Compliance, AML and Regulatory ... Doctor - NY BarExperience with SEC and FINRA broker/dealer framework - specifically 15a6...
Chief Compliance Officer
NEWProvidence, RIon compliance strategic initiatives and all compliance matters to ensure that company ... at company, and its adviser and broker dealer affiliates. Responsible for monitoring...
Chief Compliance Officer
Compliance Search Group
- New York City, NYand the broker/dealer have adequate compliance coverage. Responsibilities include: ... effectively with the firm'sBroker/Dealer Compliance, the firm's business managers,...
Compliance Analyst
NEWAmeriprise Financial
- Boston, MAPrograms including: Collaborate with Compliance colleagues to perform Annual ... investment advisor, investment company, and broker dealer regulations and business...
Compliance Analyst
NEWAmeriprise Financial
- Boston, MAPrograms including: Collaborate with Compliance colleagues to perform Annual ... investment advisor, investment company, and broker dealer regulations and business...
Compliance Analyst
Dimensional Fund Advisors
- Austin, TXCompliance Analyst will assist the firm's compliance officers in the evaluation, ... environment at a mutual fund company or broker-dealer preferred Bachelor's degree...
Compliance Analyst
Compliance Search Group
- Baltimore, MDCompliance Analyst A Boutique investment bank and broker/dealer seeks a Compliance Analyst ... policies and procedures for multiple broker-dealer affiliates. Main focus for this...
Compliance Analyst
Robert Half International
- New York City, NYpre-trade and post-trade compliance restriction system • Handle over-the-wall requests ... firm, broker-dealer, regulator - Experience within Compliance, Portfolio...
Compliance Analyst
Efinancial Careers
- New York City, NYmatters pertaining to the operations of the broker/dealer as well as all public and private funds under management - Designing and implementing internal controls, policies and...
Compliance Analyst
Infinity Consulting Solutions
- New York, NYfor a Compliance Analyst for their Central Compliance team and another for the trading ... asset manager, investment bank, broker-dealer, or compliance consultancy. Prior...
Compliance Analyst
Rosenthal Recruiting
- Teaneck, NJthem on investment adviser regulatory compliance matters, including record keeping, ... Securities and Exchange Commission (SEC) • Awareness of broker-dealer and/or hedge fund re...
Compliance Analyst
Compliance Regulatory Consultant
- Teaneck, NJwith investment advisor regulatory compliance, including the Investment Advisers ... Awareness of broker-dealerand/or hedge fund regulation is a plus...
Counsel for Private Banking and Lending
NEWMorgan Stanley
- New York City, NYbroker-dealer. Specific duties will include: - Advising the business on complex transactions and initiatives related to Lending - Coordinating with other attorneys and legal...
Assistant General Counsel LATAM Wealth Management
NEWCiti
- Miami, FLlegal policies. Advise bankers and local counsel regarding complex cross-border ... primary legal coverage for thebroker-dealer; * Participate in various Citi product...
Assistant General Counsel Dispute Advisory Group Manager
NEWCiti
- O'fallon, MOall aspects of the handling of retail broker-dealer/RIA and insurance agency ... managing regulatory exams of thebroker-dealer and insurance agency, oversee and...
Senior Counsel Dispute Advisory Group
NEWCiti
- O'fallon, MODescription The Case Attorney position supports all aspects of the retail broker dealer/RIA and insurance agency business's pre-litigation disputes. The position is responsible...
In-House Derivatves Counsel
NEWAmato Legal Search
- New York City, NYseeks a 4-10 year "buy side" Derivatives Counsel (AVP or VP title depending on seniority) ... merchants and prime brokers. Will counsel portfolio managers and traders regarding...
Sr. Director - Tax Services Operations
NEWBroadridge
- Deer Park, NYof top tier investment banks and global broker dealers. The candidate will be results ... and technology-driven solutions for broker-dealers, banks, mutual funds, and...
Enforcement Counsel
NEWFinra
- New York City, NYindividual for our Enforcement Counsel opening in New York, NY . To be ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...
Compliance Specialist II
NEWM&T Bank
- Buffalo, NYDeposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business...
Compliance Specialist I - Centralized Compliance
NEWM&T Bank
- Buffalo, NYDeposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel�s Office, disseminates to business...
Managing Counsel Job
NEWBNY Mellon
- New York City, NYManaging Counsel (Job Number: 1501181) BNY Mellon is a global investments company ... trade finance or mutual fund or broker dealer lending experience Cross-border...
Attorney- Equities
NEWBank of America
- New York City, NYCoverage areas can include: U.S. broker-dealer regulation generally with an emphasis on Research Sales, commission management, Investment Adviser Act of 1940, secondary market...
Attorney-Fixed Income Sales and Trading
NEWBank of America
- New York City, NYCoordinates the work of outside legal counsel on related projects. Supervises ... peer banking institution Familiarity with broker-dealer and banking regulations...
Broker-Dealer Compliance Attorney
Counsel On Call
- New York City, NYCounsel On Call seeks an experienced broker-dealer compliance attorney to assist the ... mutual funds and broker-dealer licensing and registration required * Experience in a finan...
Attorney- Equities
Bank of America
- New York City, NYCoverage areas can include: U.S. broker-dealer regulation generally with an emphasis on Research Sales, commission management, Investment Adviser Act of 1940, secondary market...
Attorney-Fixed Income Sales and Trading
Bank of America
- New York City, NYCoordinates the work of outside legal counsel on related projects. Supervises ... peer banking institution * Familiarity with broker-dealer and banking regulations *...
Vice President & Chief Counsel Data Initiatives
Prudential Financial
- Newark, NJThis senior attorney will provide counsel and advice to various internal ... laws governing variable and fixed products, broker-dealers, and investment advisory...
Counsel - Investment Advisers Act
Ameriprise Financial
- New York City, NYFinancial the largest independent broker-dealer (IBD) in the managed account ... or eligible for admission as house counsel.The responsibilities for this position...
Compliance Specialist I - Centralized Compliance
Buffalo, NYDeposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel?s Office, disseminates to business...
Investment Management - Junior/Midlevel Associate
New York City, NY(SEC), investment management firms, banks, broker-dealers, and insurance companies. ... adviser registration and regulation, broker-dealer regulatory issues, and other...
Director, Enforcement Center
Financial Industry Regulatory Authority
- New York City, NYduring discussions with outside counsel, in settlement negotiations, and ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...
Legal Counsel
Broadridge
- Denver, COThe Legal Counsel will report directly to the Senior Legal Counsel, and will support the ... and affiliates, includingbroker dealer, SSAE16 audits and AML audits. • Research...
Corporate Counsel, Investment Related Products
Provider of Financial Services To Emerging and Mature Companies
- Santa Clara, CA(both commercial and consumer) and broker-dealer delivered products and ... issues • Managing outside counselSkills and Requirements: • 6-10+ years' experience...
Compliance Examiner - Member Regulation, Membership Application Program
Finra
- New York, NYmembership applications, risk areas of broker-dealers and allegations of wrong-doing ... written and oral reports to broker-dealer executives, consultants/ counsel and...
Assistant General Counsel / Lead Attorney
Leading Provider of Insurance, Investments, and Retirement Products
- Saint Petersburg, FLPosition Description: The Assistant General Counsel/Lead Attorney is a recognized company ... issues and security breaches for RIA and broker-dealer ("BD"). Provides legal support on...
General Counsel
New York City, NYand obligations of the Bank, its broker-dealer and insurance subsidiaries; ... Bank and its subsidiary to outsidecounsel to defend the Bank and oversee such counsel...
Managing Director / Deputy General Counsel
New York City, NYbroker-dealers or FCMs, exchanges or clearinghouses. • Strong analytical, ... of broker, dealers, custodian banks and asset managers worldwide. Our Client is able to...
Compliance Specialist I - Centralized Compliance
M&t Bank
- Buffalo, NYDeposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel?s Office, disseminates to business...
COMMISSIONER: DEPARTMENT OF INSURANCE, SECURITIES AND BANKING (DISB)
Mayorâ??s Office of Talent and Appointments (mota)
- Washington, DCauthorized to operate in the District as broker-dealers and their agents, investment ... Develops and implements inspection programs designed to encourage broker/dealers, investme...
Sr. Managing Counsel Job
BNY Mellon
- Jersey City, NJscenes to power transformational change for broker-dealers, registered investment ... services and specific experience with a broker-dealer, registered investment advisor,...
Attorney 3-Institutional Trust and Custody
US Bank
- St Paul, MNMinnesota and reports to IT&C's chief counsel. IT&C provides investment management, asset ... reinsurers, banks, trust companies, broker-dealers, futures commission merchants,...
Associate Corporate Counsel
Leading Provider of Investor Communications
- Denver, COThe 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. • Research...
Sr. Director â?? Tax Services Operations
Leading Provider of Investor Communications
- Deer Park, NYbase of top tier investment banks and global broker dealers. The candidate will be results ... through to resolution. The team will counsel clients with regard to application...
Corporate Counsel
New York City, NYmaterial terms. Manage and supervise outside counsel and legal assistants. Qualifications: ... with a leading law firm, investment bank, broker-dealer or company in the private...
Compliance Examiner - Member Regulation, Membership Application Program - New York, NY(Job Number: 004022)
Finra
- New York City, NYto broker-dealer executives, consultants/ counsel and FINRA management, including ... with opportunities to interact with broker-dealer and FINRA senior managers. To be...
Compliance Examiner - Member Regulation, Membership Application Program
Compliance Search International
- New York City, NYmembership applications, risk areas of broker-dealers and allegations of wrong-doing ... to broker-dealerexecutives, consultants/ counsel and FINRA management, including...
Legal Counsel Director - Employee Benefit Trust and Custody Services(20150123-161)
Charles Schwab Corporation
- Chicago, ILrelating to registered Broker Dealers. * Experience in the negotiation of investment advisory agreements. * The ability to negotiate trust and custody agreements with Bank...
Director - Legal Counsel(0923-19760)
Charles Schwab Corporation
- Lone Tree, COall areas of Schwab's broker-dealer activities including equity and fixed income ... services company that includesbroker-dealer and investment adviser matters, and/or...
Securities Attorney (Part Time or Of Counsel) (CLS 1128)
Chicago Legal Search
- Chicago, ILis seeking a part-time (500-700 hours) or Of Counsel Illinois bar admitted attorney with a ... D/Blue Sky, Investment Advisor Act and broker dealer matters, to join their...
Real Estate Attorney
Healthcare-focused Consulting House
- Roseland, NJThis position will address client needs in broker-dealer, commercial, and individual private clients real estate proceedings which may include handling environmental law,...
Counsel - Investment Advisers Act
Leading Financial Planning and Services Company
- Minneapolis, MNFinancial the largest independent broker-dealer (IBD) in the managed account ... - Working with regulators, outside counsel and independent experts from time to...
Counsel - Investment Advisers Act
Ameriprise
- Minneapolis, MNFinancial the largest independent broker-dealer (IBD) in the managed account ... - Working with regulators, outside counsel and independent experts from time to...
Attorney 3-Institutional Trust and Custody
US Bank
- St Paul, MNMinnesota and reports to IT&C's chief counsel. IT&C provides investment management, asset ... reinsurers, banks, trust companies, broker-dealers, futures commission merchants,...
Senior Counsel Job
BNY Mellon
- Jersey City, NJscenes to power transformational change for broker-dealers, registered investment ... 6-10 years law firm experience representing broker dealers or otherfinancial services...
Corporate Counsel, Investment Related Products
SVB Financial Group
- Santa Clara, CAour bank and its investment advisor and broker-dealer affiliates, including our ... (both commercial and consumer) and broker-dealer delivered products and...
Legal- AGC - Chase Wealth Management-ED
JPMorgan Chase
- New York City, NYof business is Chase's retail broker-dealer business, offering brokerage accounts, investment advisory accounts and annuities to Chase customers at Chase bank branches through CWM...
Attorney - Investment Mgmt- Merrill Edge
Bank of America
- Boston, MA5-10 years law firm experience representing broker dealers or other financial services ... or, 3-5 years relevant experience at a broker-dealer or financial institution. * JD...
Legal- AGC - Chase Wealth Management-ED-NY
JPMorgan Chase
- Chicago, ILof business is Chase's retail broker-dealer business, offering brokerage accounts, investment advisory accounts and annuities to Chase customers at Chase bank branches through CWM...
Vice President, Corporate Counsel
Prudential Financial
- Newark, NJcounsel to retail and wholesaling broker-dealers distributing primarily variable life ... will also be helpful: broker-dealer counsel including FINRA Rules; corporate...
Assistant Counsel - Derivatives
Asset Management Firm Providing Multiple Financial Services
- New York City, NYThe candidate will initially have responsibility for, and the position requires the candidate to have relevant experience in, the following areas: Drafting, review and negotiation...