EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog

March 24, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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SALES and SUPPORT JOBS
  • Associate Portfolio Consultant - Indianapolis, IN(20150224-585) 

    NEW

    Charles Schwab Corporation

     - Indianapolis, IN

    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.

    11 hours ago from Charles Schwab Corporation
     
  • Managed Accounts Reconciliation Specialist(20150212-426) 

    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.

    11 hours ago from Charles Schwab Corporation
     
  • Team Manager Account Solutions, El Paso, TX(0323-22496) 

    NEW

    Charles Schwab Corporation

     - El Paso, 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.

    11 hours ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Bellevue, WA(20150316-826) 

    NEW

    Charles Schwab Corporation

     - Bellevue, WA

    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.

    16 hours ago from Charles Schwab Corporation
     
  • Team Manager, Client Service and Support(20150225-597) 

    NEW

    Charles Schwab Corporation

     - Indianapolis, IN

    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.

    16 hours ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Walnut Creek, CA(20150317-875) 

    NEW

    Charles Schwab Corporation

     - Walnut Creek, 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.

    3 days ago from Charles Schwab Corporation
     
  • Senior Analyst - Supervision & Controls(1207-21062) 

    NEW

    Charles Schwab Corporation

     - Boston, MA

    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 - Bellevue WA(20150306-726)

    Charles Schwab Corporation

     - Bellevue, WA

    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 - San Diego, CA(20150316-830)

    Charles Schwab Corporation

     - San Diego, 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.

    4 days ago from Charles Schwab Corporation
     
  • Regional Support Specialist - Advisor Services (Chicago Metro Region)(0319-22437)

    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
     
  • Compliance Manager, B-D Risk Assessment and Supervisory Controls Program(20150227-646)

    Charles Schwab Corporation

     - Austin, 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.

    4 days ago from Charles Schwab Corporation
     
  • Compliance Director - Investment Advisor Risk Assessment(20150126-205)

    Charles Schwab Corporation

     - Austin, 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.

    4 days ago from Charles Schwab Corporation
     
  • Centralized Supervision Manager - Branch Project Support(20150130-272)

    Charles Schwab Corporation

     - Indianapolis, IN

    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
     
  • Financial Consultant Assistant - Sandy Springs, GA(20150311-770)

    Charles Schwab Corporation

     - Sandy Springs, GA

    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
     
  • Brokerage Service Representative(20150129-256)

    Charles Schwab Corporation

     - Richfield, OH

    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 - Melbourne, FL(20150316-829)

    Charles Schwab Corporation

     - Melbourne, 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
     
  • Vice President, Branch Manager - Fairfield and Madison, CT(0317-22390)

    Charles Schwab Corporation

     - Fairfield, 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.

    6 days ago from Charles Schwab Corporation
     
  • Fixed Income Specialist - Regional Bond Desk(0615-18143)

    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.

    6 days ago from Charles Schwab Corporation
     
  • AS Supervision Support Analyst(20150303-682)

    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.

    6 days ago from Charles Schwab Corporation
     
  • Bilingual Financial Consultant Assistant - Arcadia, CA(20150311-772)

    Charles Schwab Corporation

     - Arcadia, 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.

    6 days ago from Charles Schwab Corporation
     
  • Estates Services Associate(0317-22383)

    Charles Schwab Corporation

     - Indianapolis, IN

    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.

    6 days ago from Charles Schwab Corporation
     
  • Financial Consultant Assistant - Washington DC(20150311-769)

    Charles Schwab Corporation

     - Washington, DC

    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.

    6 days ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Sugar Land(0308-22296)

    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.

    7 days ago from Charles Schwab Corporation
     
  • Vice President, Branch Manager - Lynnwood, WA(20150313-805)

    Charles Schwab Corporation

     - Lynnwood, WA

    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.

    7 days ago from Charles Schwab Corporation
     
  • Director Disaster Recovery Governance(0316-22365)

    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.

    7 days ago from Charles Schwab Corporation
  • Chase Wealth Management - Financial Advisor - Lexington, KY (Leestown) 

    NEW

    JPMorgan Chase

     - Nicholasville, KY

    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
     
  • Chase Wealth Management - Financial Consultant 

    NEW

    JPMorgan Chase

     - Westerville, OH

    As a Financial Consultant you will be a key member of the Chase Investments team in our mission to create a great client experience and help individuals across all 50 U.S states...

    6 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate - Minerva, OH (Minerva) 

    NEW

    JPMorgan Chase

     - Minerva, OH

    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 %242.3 trillion and...

    6 hours ago from JPMorgan Chase & Co
     
  • AM Investments Business Operations Project Manager, Vice President, Columbus, OH 

    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...

    6 hours ago from JPMorgan Chase & Co
     
  • AM- Middle Office Support Business Analyst (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...

    6 hours ago from JPMorgan Chase & Co
     
  • Compliance Manager 

    NEW

    JPMorgan Chase

     - Chicago, IL

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

    6 hours ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Fixed Income Compliance - Executive Director 

    NEW

    JPMorgan Chase

     - New York City, NY

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

    6 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate 

    NEW

    JPMorgan Chase

     - Columbus, OH

    Chase Private Client (CPC) is an exclusive business within Chase that caters to affluent customers. CPC is one of the firm's key growth priorities over the next few years. CPC is...

    6 hours ago from JPMorgan Chase & Co
     
  • Corporate Compliance Manager Regulatory Examinations - Securities 

    NEW

    JPMorgan Chase

     - New York City, NY

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

    6 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Chase Private Client Investment Associate - Baton Rouge, LA (Baton Rouge Downtown) 

    NEW

    JPMorgan Chase

     - Baton Rouge, LA

    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 %242.3 trillion and...

    6 hours ago from JPMorgan Chase & Co
     
  • AM- Investment Middle Office Project Manager (Associate)- Columbus 

    NEW

    JPMorgan Chase

     - Westerville, OH

    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...

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

    NEW

    JPMorgan Chase

     - Metuchen, NJ

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

    19 hours ago from JPMorgan Chase
     
  • Asset Management Private Bank Latin Amerca Private Client Direct Investor VP 

    NEW

    JPMorgan Chase

     - Miami, FL

    .P. Morgan Private Bank Investment Advisor - Private Client Direct - Latin America J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families,...

    1 day ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management - Southeast Phoenix Valley 

    NEW

    JPMorgan Chase

     - Mesa, AZ

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

    2 days ago from JPMorgan Chase
     
  • Anticipated Financial Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Tucson, AZ

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

    2 days ago from JPMorgan Chase
     
  • Asset Management - Private Bank- Senior Investment Specialist - UHNW NJ 

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Global Wealth Management Investor Position Summary: The Investor combines the technical skills of portfolio managers with the communication and selling skills of...

    2 days ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker- Johnstown, OH (Johnstown Kroger) 

    NEW

    JPMorgan Chase

     - Johnstown, OH

    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...

    2 days ago from JPMorgan Chase & Co
     
  • CIB F&BM- SPG Controller- External Reporting - LEC - Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

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

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Chase Private Client Investment Associate - Farmington Hills, MI (Twelve Mile Country Club) 

    NEW

    JPMorgan Chase

     - Bloomfield Hills, MI

    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...

    3 days ago from JPMorgan Chase
     
  • Investment Support Associate - Broker Service Center 

    NEW

    JPMorgan Chase

     - Chicago, IL

    *Chase 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...

    3 days ago from JPMorgan Chase
     
  • Sr. Operations Associate - Wealth Mgmt - Supervision and Sales Mgmt

    JPMorgan Chase

     - Columbus, OH

    The Senior Operations Associate supports CWM Supervision and Sales Management by reviewing inbound and outbound e-mail correspondence received or sent by CWM licensed...

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Westminster Beach, CA (Bilingual Vietnamese Preferred)

    JPMorgan Chase

     - Buena Park, 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
     
  • GWM - Global Head of Equities

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Global Wealth Management Global Head of Equities The Wealth Management division of JPMorgan Chase & Co. is part of the Asset & Wealth Management business segment. It...

    5 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
     
  • Chase Private Client - Private Client Advisor - New York, NY (Soho)

    JPMorgan Chase

     - New York City, 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 $2.3...

    5 days ago from JPMorgan Chase
  • Business Instructor I 

    NEW

    MetLife

     - Rhode Island

    Job Location Warwick, RI Job Description The Business Instructor I position is responsible for researching, analyzing and documenting procedures and workflow for Life Operations...

    2 days ago from MetLife
     
  • Agency Controls Coordinator 

    NEW

    MetLife

     - Pennsylvania

    Job Location Allentown, PA Job Description Job Summary : The Agency Controls Coordinator provides administrative support to an insurance and financial services sales agency.

    2 days ago from MetLife
     
  • National Life Director 

    NEW

    MetLife

     - New Jersey

    Job Location US, work from home Job Description The focus of this role is to maximize the distribution of the Group Life products through established and emerging brokers and...

    2 days ago from MetLife
     
  • New Business Rep II 

    NEW

    MetLife

     - Iowa

    Job Location West Des Moines IA Virtual Location No Job Description The New Business Rep II is responsible for answering incoming calls from Financial Service Representatives...

    3 days ago from MetLife
     
  • Agency Director Financial Planning Specialist 

    NEW

    MetLife

     - Colorado

    Job Location Greenwood Village, CO Job Description Responsible for the quality of advice provided in comprehensive and customized financial plans prepared locally at the firm.

    3 days ago from MetLife
     
  • Customer Relations Consultant 

    NEW

    MetLife

     - Pennsylvania

    Job Location Johnstown, PA Job Description Job Description We strive to attract, develop and retain diverse talent with the potential to be future leaders of our department and of...

    3 days ago from MetLife
     
  • Advanced Markets Director

    MetLife

     - New York

    Job Location New York, NY Job Description SUMMARY OF RESPONSIBILITIES: The Advanced Markets Specialist position provides traditional Advanced Markets Support including Case...

    4 days ago from MetLife
     
  • Managing Sales Director

    MetLife

     - Washington

    Job Location Spokane, WA Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team of...

    4 days ago from MetLife
     
  • Assistant Operations Manager

    MetLife

     - Washington

    Job Location Bellevue, WA Job Description Job Summary : Provides administrative support to an insurance and financial services sales agency. Functional Responsibilities : Assists...

    5 days ago from MetLife
     
  • Senior Agency Compliance Consultant

    MetLife

     - Massachusetts

    Job Location Southborough, MA Job Description To work as part of a team of Registered Principals charged with delivering MetLife's Compliance Program, which is designed to meet...

    5 days ago from MetLife
     
  • Senior Compliance Associate

    MetLife

     - California

    Job Description Ensures agency compliance responsibilities and related supervisory requirements are maintained. Ensures agency activities and materials comply with all company...

    6 days ago from MetLife
     
  • Managing Sales Director II

    MetLife

     - Washington

    Job Location Bellevue WA Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director II is to advance the Financial Services Representatives'...

    6 days ago from MetLife
     
  • Director of Operations

    MetLife

     - Pennsylvania

    Job Location Philadelphia, PA Job Description Provide administrative management to an insurance and financial services sales agency. Functional Responsibilities: Responsible for...

    9 days ago from MetLife
     
  • Managing Sales Director I

    MetLife

     - Connecticut

    Job Location Shelton, CT Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team of...

    9 days ago from MetLife
     
  • Manager Controls

    MetLife

     - New York

    Job Location work from home Alternate Location Orlando or Tampa Florida, Des Moines, Iowa Tulsa, Oklahoma Johnstown, Pennsylvania Job Description Job Summary: Ensures that...

    10 days ago from MetLife
     
  • Managing Sales Director

    MetLife

     - Utah

    Job Location Sandy UT Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team of Senior...

    11 days ago from MetLife
     
  • AVP Head of Corporate Benefit Funding (Institutional) Marketing

    MetLife

     - New York

    Job Location Primary: 200 Park Ave, NYC Secondary: Bridgewater, NJ Job Description METLIFE Founded in 1868, MetLife through its subsidiaries and affiliates is a global provider of...

    13 days ago from MetLife
     
  • Director Life Insurance Underwriting

    MetLife

     - North Carolina

    Job Location Charlotte, NC ***Full Relocation Package to Charlotte, NC available*** Job Description Job Summary As the Director of Underwriting for our Career Agency distribution...

    13 days ago from MetLife
     
  • Sr Compliance Consultant

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description This individual contributor role supports MetLife's U.S. Compliance organization, which is responsible for compliance oversight...

    16 days ago from MetLife
     
  • Internal Sales Associate Annuity

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description This is the place to be to make an impact with an award-winning team that always puts its customers first. MetLife is taking giant...

    17 days ago from MetLife
     
  • Work Place Sales Director (WSD)

    MetLife

     - New Jersey

    Job Location New Jersey area Virtual Location Work from home Job Description Summary of Responsibilities The primary role of the Workplace Sales Director (WSD) is to support a...

    18 days ago from MetLife
     
  • Customer Service Rep II Annuities Start Date 4 13 15

    MetLife

     - Iowa

    Job Location West Des Moines, Iowa Virtual Location No Job Description Answers incoming calls from Financial Service Representatives and/or clients to research and Principal...

    21 days ago from MetLife
     
  • Director Operations

    MetLife

     - Pennsylvania

    Job Location Pittsburgh, PA Job Description Job Summary: Director of Operations will work hand in hand with the Managing Partner of a virbrant, dynamic and progressive financial...

    21 days ago from MetLife
     
  • Managing Director

    MetLife

     - California

    Job Location Los Angeles, CA Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Director is to manage a detached office location and/or a team of...

    21 days ago from MetLife
     
  • Annuity Trainer

    MetLife

     - North Carolina

    Job Location Charlotte, North Carolina Virtual Location No Job Description Summary of Responsibilities: This position will be responsible to facilitate, identify, respond to and...

    21 days ago from MetLife
  • Compliance Officer 

    NEW

    Compliance Search Group

     - Chicago, IL

    Compliance Officer -Many Levels A Financial Services Firm seeks a number of Compliance ... complianceexperience. ADR experience would be Ideal. • Swap dealer experience strongly...

    7 hours ago from The Ladders
     
  • 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...

    3 days ago from BNY Mellon
     
  • Compliance Officer 

    NEW

    Michael Page International - US

     - New York City, NY

    and 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...

    3 days ago from eFinancial Careers
     
  • 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,...

    14 days ago from IvyExec
  • Compliance Analyst

    Jackson National Life Insurance Company

     - Denver, CO

    The Compliance Analyst will report to the Chief Compliance Officer ... associates, regulatory agencies and Broker-Dealers Assist in the monitoring and...

    5 days ago from Jackson National Life Insurance Company
     
  • Compliance Analyst

    Dimensional Fund Advisors

     - Austin, TX

    Compliance Analyst will assist the firm's compliance officers in the evaluation, ... environment at a mutual fund company or broker-dealer preferred Bachelor's degree...

    11 days ago from Dimensional Fund Advisors
     
  • Compliance Analyst

    Compliance Search Group

     - Baltimore, MD

    Compliance Analyst A Boutique investment bank and broker/dealer seeks a Compliance Analyst ... policies and procedures for multiple broker-dealer affiliates. Main focus for this...

    11 days ago from The Ladders
     
  • Compliance Analyst

    Robert Half International

     - New York City, NY

    pre-trade and post-trade compliance restriction system • Handle over-the-wall requests ... firm, broker-dealer, regulator - Experience within Compliance, Portfolio...

    18 days ago from eFinancial Careers
     
  • Compliance Analyst

    Efinancial Careers

     - New York City, NY

    matters 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...

    20 days ago from eFinancial Careers
     
  • Compliance Analyst

    Infinity Consulting Solutions

     - New York, NY

    for a Compliance Analyst for their Central Compliance team and another for the trading ... asset manager, investment bank, broker-dealer, or compliance consultancy. Prior...

    20 days ago from Infinity Consulting Solutio
  • Chief Compliance Officer 

    NEW

    Compliance Search Group

     - New York City, NY

    and the broker/dealer have adequate compliance coverage. Responsibilities include: ... effectively with the firm'sBroker/Dealer Compliance, the firm's business managers,...

    2 days ago from eFinancial Careers
     
  • Chief Compliance Officer 

    NEW

    California Broker Dealer

     - California

    POSITION:A full-service, California broker dealer is seeking a qualified candidate to ... Investment Advisor and/or FINRA registered Broker/Dealer. A solid understanding of SEC,...

    3 days ago from JOBS Employment Board
     
  • Chief Compliance Officer 

    NEW

    Jones Lang LaSalle

     - Chicago, IL

    with investment advisory and broker-dealer clients * Provide legal review of and ... *Position Title:* ChiefCompliance Officer *Auto Req ID:* 15302BR *Full/Part Time:* Full-T...

    3 days ago from Jones Lang LaSalle
     
  • Chief Compliance Officer

    Hartford, CT

    on compliance strategic initiatives and all compliance matters to ensure that company ... at company, and its adviser and broker dealer affiliates. Responsible for monitoring...

    10 days ago from IvyExec
  • Securities Examiner I (PCN 08-3010) 

    NEW

    State of Alaska

     - Anchorage, AK

    examinations of investment advisers and broker-dealers independently and/or in ... to securities issuers or representing counsel outlining any needed information.

    1 hour ago from State of Alaska
     
  • Attorney- Fixed Income- Repo and Securities Lending Attorney 

    NEW

    Bank of America

     - New York City, NY

    actions. * Coordinate with outside counsel on regulatory, enforcement and ... preferably with experience inbroker dealer law, banking regulations and/or...

    13 hours ago from Bank of America
     
  • Attorney- Equities 

    NEW

    Bank of America

     - New York City, NY

    for an experienced and highly motivated attorney. Working with other lawyers and ... Coverage areas can include: U.S. broker-dealer regulation generally with an...

    13 hours ago from Bank of America
     
  • Attorney-Fixed Income Sales and Trading 

    NEW

    Bank of America

     - New York City, NY

    Coordinates the work of outside legal counsel on related projects. Supervises ... peer banking institution * Familiarity with broker-dealer and banking regulations *...

    13 hours ago from Bank of America
     
  • Sr. Managing Counsel 

    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,...

    19 hours ago from BNY Mellon
     
  • Vice President, Associate Counsel (Brokerage) 

    NEW

    Lpl Financial

     - Charlotte, NC

    senior attorneys, the Deputy General Counsel and the General Counsel, with the ... Corporate group and will support broker-dealer, retirement and new product matters...

    19 hours ago from LPL Financial LLC
     
  • Vice President, Associate Counsel (Advisory) 

    NEW

    Lpl Financial

     - Charlotte, NC

    including senior attorneys, Deputy General Counsel and General Counsel, with the ... the company as RIA andbroker-dealer * Implementation of new and changing...

    19 hours ago from LPL Financial LLC
     
  • Compliance Specialist II 

    NEW

    M&T Bank

     - Buffalo, NY

    Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business...

    2 days ago from M&T Bank
     
  • Compliance Specialist II 

    NEW

    M&t Bank

     - Buffalo, NY

    Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business...

    2 days ago from Disabled Persons
     
  • AttorneyInvestment Management focused 

    NEW

    Staffingforce

     - Boston, MA

    an Investment Management focused Associate Attorney with 4 - 6 years of experience ... funds, private funds, investment advisers, broker dealers, insurance companies and other...

    3 days ago from StaffingForce
     
  • Managing Counsel

    BNY Mellon

     - New York City, NY

    Lending Practice Group is seeking an attorney in New York to support the firm's ... trade finance or mutual fund or broker dealer lending experience Cross-border...

    4 days ago from BNY Mellon
     
  • Vice President, Associate Counsel (Brokerage)

    Asian American Lawyers Association of Massachusetts (aalam)

     - Charlotte, NC

    group and will support broker-dealer, retirement and new product matters in ... issues affecting the company as abroker-dealer and registered investment advisor...

    5 days ago from The Asian American Lawyers Association...
     
  • Vice President, Associate Counsel (Advisory)

    Asian American Lawyers Association of Massachusetts (aalam)

     - Charlotte, NC

    including senior attorneys, Deputy General Counsel and General Counsel, with the ... the company as RIA andbroker-dealer Implementation of new and changing...

    5 days ago from The Asian American Lawyers Association...
     
  • Securities & Insurance Distribution Counsel, Assistant General Counsel (13241)

    New York Life Insurance Company

     - New York City, NY

    & Insurance Assistant Counsel: A Fortune 100 life insurer with retail brokerage and ... significant familiarity withbroker/dealer and registered investment adviser issues. *...

    5 days ago from New York Life Insurance Company
     
  • Securities & Insurance Distribution Counsel, Assistant General Counsel (13241)

    New York Life Insurance Co

     - New York City, NY

    & Insurance Assistant Counsel: A Fortune 100 life insurer with retail brokerage and ... familiarity withbroker/dealer and registered investment adviser issues.

    5 days ago from New York Life Insurance Co
     
  • 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
     
  • Investigator

    State of Ohio

     - Columbus, OH

    cannot provide legal advice or serve as an attorney for any party. Complaints may be ... and presentation of cases by legal counsel before an administrative hearing...

    5 days ago from GovernmentJobs.com
     
  • Enforcement Counsel

    Financial Industry Regulatory Authority

     - New York City, NY

    FINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... employee) and to authorize their broker-dealers to provide FINRA with duplicate statements...

    5 days ago from Financial Industry Regulatory...
     
  • Vice President & Chief Counsel Data Initiatives

    Prudential

     - Newark, NJ

    This senior attorney will provide counsel and advice to various internal ... and/or business clients **Job:** **Attorney/Corporate Counsel* **Title:** *Vice...

    5 days ago from Prudential
     
  • Counsel for Private Banking and Lending

    Morgan Stanley

     - New York City, NY

    broker-dealer. Specific duties will include: - Advising the business on complex transactions and initiatives related to Lending - Coordinating with other attorneys and legal...

    7 days ago from Morgan Stanley
     
  • Assistant General Counsel LATAM Wealth Management

    Citi

     - Miami, FL

    legal policies. Advise bankers and local counsel regarding complex cross-border ... primary legal coverage for thebroker-dealer; * Participate in various Citi product...

    7 days ago from Citi
     
  • Assistant General Counsel Dispute Advisory Group Manager

    Citi

     - O'fallon, MO

    all aspects of the handling of retail broker-dealer/RIA and insurance agency ... managing regulatory exams of thebroker-dealer and insurance agency, oversee and...

    7 days ago from Citi
     
  • Senior Counsel Dispute Advisory Group

    Citi

     - O'fallon, MO

    Description The Case Attorney position supports all aspects of the retail broker dealer/RI ... resolution with the client (or the client's attorney) if necessary or appropriate. The...

    7 days ago from Citi
     
  • Attorney-Fixed Income Sales and Trading

    Bank of America

     - New York, NY

    Coordinates the work of outside legal counsel on related projects. Supervises ... peer banking institution * Familiarity with broker-dealer and banking regulations *...

    9 days ago from MarketingJobs.com, Inc
  • Compliance Specialist I - Centralized Compliance

    M&T Bank

     - Buffalo, NY

    Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel s Office, disseminates to business...

    9 days ago from M&T Bank
     
  • Managing Counsel Job

    BNY Mellon

     - New York City, NY

    Managing Counsel (Job Number: 1501181) BNY Mellon is a global investments company ... trade finance or mutual fund or broker dealer lending experience Cross-border...

    9 days ago from BNY Mellon
     
  • Attorney- Equities

    Bank of America

     - New York City, NY

    for an experienced and highly motivated attorney. Working with other lawyers and ... Coverage areas can include: U.S. broker-dealer regulation generally with an...

    9 days ago from Disabled Persons
     
  • Broker-Dealer Compliance Attorney

    Counsel On Call

     - New York City, NY

    Counsel 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...

    11 days ago from Counsel On Call
     
  • Counsel - Investment Advisers Act

    Ameriprise Financial

     - New York City, NY

    Financial the largest independent broker-dealer (IBD) in the managed account ... or eligible for admission as house counsel.The responsibilities for this position...

    12 days ago from Ameriprise Financial, Inc.
     
  • Compliance Specialist I - Centralized Compliance

    Buffalo, NY

    Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel?s Office, disseminates to business...

    12 days ago from None
     
  • 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...

    12 days ago from None
     
  • Director, Enforcement Center

    Financial Industry Regulatory Authority

     - 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...

    12 days ago from Financial Industry Regulatory...
     
  • Legal 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...

    13 days ago from Broadridge Financial Solutions, Inc.
     
  • Legal 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...

    13 days ago from Broadridge | Forefield
     
  • Legal Counsel

    Broadridge

     - Denver, CO

    The Legal Counsel will report directly to the Senior Legal Counsel, and will support the ... and affiliates, includingbroker dealer, SSAE16 audits and AML audits. • Research...

    13 days ago from Broadridge
     
  • Corporate Counsel, Investment Related Products

    Provider of Financial Services To Emerging and Mature Companies

     - San Francisco, CA

    (both commercial and consumer) and broker-dealer delivered products and ... must be comfortable both managing outside counsel and providing guidance to business...

    13 days ago from IvyExec
     
  • Compliance Examiner - Member Regulation, Membership Application Program

    Finra

     - New York, NY

    membership applications, risk areas of broker-dealers and allegations of wrong-doing ... written and oral reports to broker-dealer executives, consultants/ counsel and...

    14 days ago from FINRA
     
  • Assistant General Counsel / Lead Attorney

    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 on...

    14 days ago from IvyExec
     
  • Managing Director / Deputy General Counsel

    New York City, NY

    broker-dealers or FCMs, exchanges or clearinghouses. • Strong analytical, ... of broker, dealers, custodian banks and asset managers worldwide. Our Client is able to...

    14 days ago from IvyExec
     
  • General Counsel

    New York City, NY

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

    14 days ago from IvyExec
     
  • Compliance Specialist I - Centralized Compliance

    M&t Bank

     - Buffalo, NY

    Deposits, Lending, Fiduciary, Broker Dealer, Insurance, Investment Advisor, ... with the Deputy Compliance Officer and Counsel?s Office, disseminates to business...

    15 days ago from Disabled Persons
     
  • COMMISSIONER: DEPARTMENT OF INSURANCE, SECURITIES AND BANKING (DISB)

    Mayorâ??s Office of Talent and Appointments (mota)

     - Washington, DC

    Develops and implements inspection programs designed to encourage broker/dealers, investme ... Develops and refers cases to the U.S. Attorney, the D. C. Attorney General or other...

    16 days ago from Mayorâ??s Office of Talent and...
     
  • Sr. Managing Counsel Job

    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,...

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

    US Bank

     - St Paul, MN

    Title: Attorney 3-Institutional Trust and Custody Location: Minnesota-MN-Saint Paul Job ... reinsurers, banks, trust companies, broker-dealers, futures commission merchants,...

    16 days ago from U.S. Bank
     
  • 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. • Research...

    18 days ago from IvyExec
     
  • Sr. Director  Tax Services Operations

    Leading Provider of Investor Communications

     - Deer Park, NY

    base 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...

    18 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...

    18 days ago from IvyExec
     
  • Compliance Examiner - Member Regulation, Membership Application Program - New York, NY(Job Number: 004022)

    Finra

     - New York City, NY

    to broker-dealer executives, consultants/ counsel and FINRA management, including ... with opportunities to interact with broker-dealer and FINRA senior managers. To be...

    18 days ago from eFinancial Careers
     
  • Compliance Examiner - Member Regulation, Membership Application Program

    Compliance Search International

     - New York City, NY

    membership applications, risk areas of broker-dealers and allegations of wrong-doing ... to broker-dealerexecutives, consultants/ counsel and FINRA management, including...

    19 days ago from Compliance Search Group