EMPLOYMENT TUESDAY at BrokeAndBroker.com

March 31, 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.
 

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SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    AIG Financial Advisors

     - Philadelphia, PA

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

    4 hours ago from BrokerHunter.com
     
  • Financial Advisor 

    NEW

    Cybercoders

     - Milwaukee, WI

    Financial Advisor Are you tired of being the tiny fish in a big pond of investment advisors? We are a thriving, mid-size Financial Services firm with offices throughout the...

    4 hours ago from CyberCoders
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Rockville, MD

    Company Description Thrivent Financial isn t your typical Fortune organization We re a faith based membership organization committed to strengthening Christian communities by...

    6 hours ago from Geebo
     
  • Financial Advisor 

    NEW

    American International Group

     - Philadelphia, PA

    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

    Northern Financial Services

     - Watertown, NY

    Exciting Opportunity Available!A progressive, fastpaced local financial institution currently has an opening for an experienced Financial Advisor to join our retail investment...

    2 days ago from RegionalHelpWanted
     
  • Financial Advisor 

    NEW

    Multinational Spanish Banking Group

     - Turlock, CA

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

    2 days ago from IvyExec
     
  • Financial Advisor 

    NEW

    Major Mutual Fund Investment Management Company

     - Scottsdale, AZ

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

    3 days ago from IvyExec
     
  • Financial Advisor

    Keybank

     - Wenatchee, WA

    **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...

    5 days ago from KeyBank
     
  • Financial Advisor

    BB&T

     - Greenville, SC

    Auto req ID 32667BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Greenville, SC - 40 West Broad Street Language Fluency English...

    5 days ago from BB&T
     
  • Financial Advisor

    American International Group

     - Cleveland, OH

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

    5 days ago from American International Group
     
  • Financial Advisor

    AIG Financial Advisors

     - Batesville, IN

    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.

    6 days ago from BrokerHunter.com
     
  • Financial Advisor

    AXA Advisors

     - Oklahoma City, OK

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

    7 days ago from CareerRookie.com
     
  • Financial Advisor

    First Command Financial Services

     - Mobile, AL

    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...

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

    USAA

     - San Antonio, TX

    We are currently seeking talented Licensed Financial Advisor for San Antonio call center. The start date for this position is May 11th, 2015 . Candidates hired prior to May 11th,...

    12 days ago from USAA
     
  • Financial Advisor

    Bank of the West

     - Aurora, CO

    What sets Bank of the West apart from other banks is our team members-they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of...

    13 days ago from Bank of the West
     
  • Financial Advisor

    San Diego County Credit Union

     - San Diego, CA

    Financial AdvisorShift Type: Full Time (40) Location: Admin. Office Description: Responsible for offering, selling and servicing suitable investment and insurance products to San...

    13 days ago from Jobing.com
     
  • Financial Advisor

    Northern Financial Services

     - Watertown, NY

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

    17 days ago from 14 WFIE
     
  • Financial Advisor

    Heritage Federal Credit Union

     - Newburgh, IN

    Description: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...

    17 days ago from Heritage Federal Credit Union
  • Joseph Dimauro

    AXA Advisors

     - New York City, NY

    ***PLEASE ONLY SEND RESUME IF YOU ARE A RECENT COLLEGE GRADUATE OR HAVE LESS THAN 2 YEARS WORK EXPERIENCE*** We are looking only for recent college graduates to join the youngest...

    5 days ago from Job Spider
     
  • Financial Services Asset Management

    AXA Advisors

     - New York

    ***PLEASE ONLY SEND RESUME IF YOU ARE A RECENT COLLEGE GRADUATE OR HAVE LESS THAN 2 YEARS WORK EXPERIENCE*** We are looking only for recent college graduates to join the youngest...

    5 days ago from AllStarJobs.com
     
  • Financial Services Asset Management

    AXA Advisors

     - New York City, NY

    ***PLEASE ONLY SEND RESUME IF YOU ARE A RECENT COLLEGE GRADUATE OR HAVE LESS THAN 2 YEARS WORK EXPERIENCE***Â We are looking only for recent college graduates to join the youngest...

    5 days ago from ActiveHire
     
  • Branch Operations Manager

    AXA Advisors

     - Wisconsin

    Company Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...

    5 days ago from AXA Advisors
     
  • Lead Associate - Branch Controls

    AXA Advisors

     - Wisconsin

    Company Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - WI, MILWAUKEE (2634)

    AXA Advisors

     - Milwaukee, WI

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - WA, BELLEVUE (2627)

    AXA Advisors

     - Bellevue, WA

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • Branch Controls (Compliance) Specialist (Falls Church)

    AXA Advisors

     - Virginia

    Company Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - VA, NORFOLK (3244)

    AXA Advisors

     - Norfolk, VA

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - VA, ROANOKE (3103)

    AXA Advisors

     - Roanoke, VA

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - VA, RICHMOND (2624)

    AXA Advisors

     - Richmond, VA

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - UT, SALT LAKE CITY (2615)

    AXA Advisors

     - Salt Lake City, UT

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • Senior Manager, Branch Controls / Compliance

    AXA Advisors

     - Texas

    Company Description AXA Equitable is a leading financial protection company, committed to fostering and maintaining a diverse, multicultural and inclusive environment, and one of...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TX, KATY (2603A)

    AXA Advisors

     - Houston, TX

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TX, SAN ANTONIO (2681)

    AXA Advisors

     - San Antonio, TX

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TX, AUSTIN (2590A)

    AXA Advisors

     - Austin, TX

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TX, HOUSTON (2603)

    AXA Advisors

     - Houston, TX

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TX, FORT WORTH (2602A)

    AXA Advisors

     - Fort Worth, TX

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TX, BROWNSVILLE (2682)

    AXA Advisors

     - Brownsville, TX

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TX, THE WOODLANDS (2609A)

    AXA Advisors

     - The Woodlands, TX

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TX, DALLAS (2593)

    AXA Advisors

     - Dallas, TX

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - TN, FRANKLIN (2584)

    AXA Advisors

     - Franklin, TN

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - PA, GREATER PITTSBURGH (2571)

    AXA Advisors

     - Pittsburgh, PA

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - PA, BALA CYNWYD (2559)

    AXA Advisors

     - Bala Cynwyd, PA

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
     
  • FINANCIAL PROFESSIONAL - PA, BALA CYNWYD (2556)

    AXA Advisors

     - Bala Cynwyd, PA

    Company Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk...

    5 days ago from AXA Advisors
  • JPMorgan Chase

     - New York City, NY

    JP Morgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of more than %242 trillion and operations in more than 60 countries. We serve millions of...

    6 hours ago from JPMorgan Chase & Co
     
  • Asset Management - GWM Private Bank Client Service Control/Policy Analyst 

    NEW

    JPMorgan Chase

     - Newark, DE

    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
     
  • Corporate Compliance - Public Finance Advisory - 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...

    3 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Boca Raton, FL (Polo Club Shoppes) 

    NEW

    JPMorgan Chase

     - Boca Raton, FL

    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...

    3 days ago from JPMorgan Chase & Co
     
  • CWM- Private Client Consultant - Team Lead

    JPMorgan Chase

     - Westerville, OH

    As a Private Client Consultant, you will partner closely with other employees across the firm, throughout our different lines of business, to help create great experiences for...

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management

    JPMorgan Chase

     - Granada Hills, CA

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

    4 days ago from JPMorgan Chase & Co
     
  • Asset Management - Supervisory Manager Private Bank Client Service and Operations

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Regional Compliance Officer - Vice President

    JPMorgan Chase

     - Columbus, OH

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Supervisory Manager - Chase Wealth Management

    JPMorgan Chase

     - Worth, IL

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Trusts and Estates, Global Wealth Management - Executive Director

    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...

    5 days ago from JPMorgan Chase & Co
     
  • Asset Management - Global Wealth Management - Private Bank EHNW Group

    JPMorgan Chase

     - Houston, TX

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

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

    JPMorgan Chase

     - Coshocton, OH

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

    5 days ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Financial Advisor Associate - 333 East 23rd Street - NYC

    JPMorgan Chase

     - New York City, NY

    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...

    5 days ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Oro Valley Fry's

    JPMorgan Chase

     - Oro Valley, AZ

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

    5 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor- Germantown, WI (Germantown)

    JPMorgan Chase

     - Germantown, WI

    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
     
  • Anticipated Private Client Advisor - Chase Wealth Management

    JPMorgan Chase

     - Franklin, 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...

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

    JPMorgan Chase

     - San Antonio, TX

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

    5 days ago from JPMorgan Chase
     
  • Asset Management - Private Bank Service Manager, VP

    JPMorgan Chase

     - Houston, TX

    A 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...

    5 days ago from JPMorgan Chase
     
  • Asset Management - Global Wealth Management - Private Bank EHNW Group - Investment Specialist - VP/Associate

    JPMorgan Chase

     - Dallas, TX

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

    5 days ago from JPMorgan Chase
     
  • In-Store Personal Banker

    JPMorgan Chase

     - Lewis Center, 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...

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

    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...

    5 days ago from JPMorgan Chase
     
  • AM- Investment Middle Office Project Manager (Associate)- Columbus

    JPMorgan Chase

     - Westerville, OH

    About JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of $2.4 trillion, is a global leader in investment and wealth management. Its clients include...

    5 days ago fro
  • Regional Director

    MetLife

     - Michigan

    Job Location Detroit , MI Work from Home Virtual Location Yes Job Description The Regional Director (RD) will be responsible for sales management within an assigned region for...

    4 days ago from MetLife
     
  • Investment Specialist

    MetLife

     - Washington

    Job Location Bellevue, WA Job Description SUMMARY OF RESPONSIBILITIES The Investment Specialist has primary responsibility for growing the securities production of the firm. The...

    4 days ago from MetLife
     
  • Managing Sales Director II

    MetLife

     - California

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

    4 days ago from MetLife
     
  • Recruiting Coordinator

    MetLife

     - Michigan

    Job Location Novi and Southfield Michigan area Job Description Position Summary: Provide ongoing support to firm management in achieving recruiting objectives. Participate in...

    6 days ago from MetLife
     
  • Business Instructor I

    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...

    9 days ago from MetLife
     
  • Agency Controls Coordinator

    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.

    9 days ago from MetLife
     
  • National Life Director

    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...

    9 days ago from MetLife
     
  • Agency Director Financial Planning Specialist

    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.

    10 days ago from MetLife
     
  • New Business Rep II

    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...

    10 days ago from MetLife
     
  • Customer Relations Consultant

    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...

    10 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...

    11 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...

    11 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...

    12 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...

    12 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...

    13 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'...

    13 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...

    16 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...

    16 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...

    17 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...

    20 days ago from MetLife
     
  • Director Life Insurance Underwriting

    MetLife

     - North Carolina

    Job Location U.S. based remote option available for first 12 months; then onsite in Charlotte, NC with full relocation package Job Description Job Summary As the Director of...

    20 days ago from MetLife
  • m 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...

    5 days ago from JPMorgan Chase
     
  • Chase Wealth Management - Financial Consultant

    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...

    5 days ago from JPMorgan Chase
     
  • Chase Private Client Investment Associate - Minerva, OH (Minerva)

    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 $2.3 trillion and...

    5 days ago from JPMorgan Chase
  • Surveillance Director, Member Regulation, ROOR 

    NEW

    Finra

     - New York, NY

    to FINRA members. * Monitor and evaluate FINRA members? mergers, acquisitions, ... * Provide FINRAmembers with timely responses to financial, operational and compliance rel...

    1 hour ago from FINRA
     
  • Examiner - Market Regulation, Trading & Financial Compliance Examinations 

    NEW

    Finra

     - Chicago, IL

    Conduct on-site examinations of registered broker-dealers and assess the financial and ... FINRA's RSA Client organizations to ensure compliance with the Securities and Exchange...

    1 hour ago from FINRA
     
  • Assistant Vice President, Broker-Dealer Regulatory Reporting Analyst 

    NEW

    Major International Bank

     - Buffalo, NY

    safeguarding of customer funds held by the broker-dealer. The primary entity that is ... regulatory capacity. - Background in broker dealer audit and examinations is highly...

    2 hours ago from IvyExec
     
  • Finance: Broker-Dealer Regulatory Reporting Lead Analyst 

    NEW

    Major International Bank

     - Buffalo, NY

    safeguarding of customer funds held by the broker-dealer. The primary entity that is ... dealer regulatory capacity. Background in broker dealer audit and examinations is highly...

    2 hours ago from IvyExec
     
  • Senior Associate, Regulatory Risk 

    NEW

    Global Professional Services Firm

     - New York City, NY

    internal controls utilized by the client broker-dealers to manage their regulatory ... financial and operational issues affecting Broker Dealers Experience with SEC capital...

    2 hours ago from IvyExec
     
  • Chief Compliance Officer (CCO) 

    NEW

    Compliance Search Group

     - New York City, NY

    broker dealer. Responsibilities: • Monitor compliance with all laws and regulations for ... maintain and enforce adequate compliance policies and procedures. • Provide compliance...

    4 hours ago from The Ladders
     
  • COMPLIANCE OFFICER I, II, III 

    NEW

    BBVA Compass Bancshares

     - Birmingham, AL

    to securities, investments and broker-dealer activities pertaining to risk ... for the Securities and InvestmentsCompliance Testing Program Performs...

    5 hours ago from BBVA Compass Bancshares, Inc
     
  • Compliance Analyst - Investment Management Firm - Marketing Review 

    NEW

    Wall Street Personnel

     - Los Angeles, CA

    literature and associated disclosures for compliance with the Advisers Act, FINRA rules ... services industry, some exposure to broker-dealer compliance practices is required;...

    9 hours ago from Wall Street Personnel
     
  • Advisory Support Specialist 

    NEW

    Nfp

     - Austin, TX

    a top 10 Independent Broker Dealer …understands the work-life balance ESSENTIAL DUTIES ... Our leading, independent broker/dealer offers a wide range of choices from some of the nat...

    10 hours ago from NFP
     
  • Examiner - Market Regulation, Trading & Financial Compliance Examinations - Chicago 

    NEW

    Financial Industry Regulatory Authority (finra)

     - Riverdale, IL

    numerous areas of a broker-dealer's business. Some travel may be required. FINRA examiners ... to authorize their broker-dealers to provide FINRA with duplicate statements for all of...

    10 hours ago from Just Jobs
     
  • Control Officer 

    NEW

    Major International Bank

     - Long Island City, NY

    Broker Dealer Branch Examinations and other compliance / control related reviews, as ... America) in accordance with the Broker Dealer Branch Examinations and Compliance...

    18 hours ago from IvyExec
     
  • Regulatory Compliance Manager 

    NEW

    Velossent

     - Atlanta, GA

    the management of the firm's broker-dealer compliance; managing the firm's Salesforce ... agencies or financial institutions in compliance with SEC, FINRA, AML and related...

    18 hours ago from JobServe Ltd
     
  • Sr. Compliance Officer- Fixed Income 

    NEW

    Major International Bank

     - New York City, NY

    approvals and interpretation of internal compliance policies; Draft compliance ... regulatory rules/regulations touching on broker-dealer activities (E.g., Reg. W, Reg.

    22 hours ago from IvyExec
     
  • Financial Operations Examiner - Member Regulation 

    NEW

    Independent Securities Regulator

     - Chicago, IL

    management, regulatory reporting, and compliance. Critically analyze internal controls ... of a broker-dealers business. FINRA examiners work in a team environment, frequently...

    22 hours ago from IvyExec
     
  • Consolidated Supervised Entity Examiner 

    NEW

    Independent Securities Regulator

     - New York City, NY

    members and member organizations for rule compliance. Excellent interpersonal, written ... initiatives. Exposure to numerous areas of a broker-dealers business. Overnight travel...

    22 hours ago from IvyExec
     
  • Compliance Examiner - Member Regulation, Sales Practice 

    NEW

    Independent Securities Regulator

     - Dallas, TX

    for regulatory cause, and activities of broker-dealer personnel to assess fair ... reports to broker-dealer executives and FINRA management, including information...

    22 hours ago from IvyExec
     
  • Director, Public Communications - Corporate Communications 

    NEW

    Independent Securities Regulator

     - New York City, NY

    and commodities-market structure, broker-dealer operation and broad understanding ... and senior team Strong grasp of FINRA brand/style guidelines; legal and compliance...

    22 hours ago from IvyExec
     
  • Compliance Manager-BL 

    NEW

    Bank of the West

     - San Francisco, CA

    knowledge of bank/broker-dealer compliance * Compliance expertise in investment advisory ... and inter-personal skills **Job:** **Compliance* **Title:** *Compliance...

    22 hours ago from Job.com
     
  • Branch Manager - Plaza Office 

    NEW

    Ameriprise Financial

     - Kansas City, MO

    *FINRA Series 7, 24, 63/66, 65/66 and 9/10 required ... principal registrations to supervise broker dealeroperations, training, and...

    23 hours ago from Disabled Persons
     
  • Investment Advisor Attorney 

    NEW

    Ameriprise Financial

     - Minneapolis, MN

    Ameriprise Financial the largest independent broker-dealer (IBD) in the managed account ... industry practices; - Collaborating with Compliance personnel on relevant compliance...

    23 hours ago from Disabled Persons
     
  • Associate Manager 

    NEW

    Ameriprise Financial

     - Boston, MA

    Obtain and maintain appropriate registrations to provide oversight on broker/dealer ... 4+ yrs of professional experience. Excellent compliance record and knowledge of compliance...

    23 hours ago from Disabled Persons
     
  • Associate Manager - Milwaukee County 

    NEW

    Ameriprise Financial

     - Brookfield, WI

    Obtain and maintain appropriate registrations to provide oversight on broker/dealer ... 4+ yrs of professional experience. Excellent compliance record and knowledge of compliance...

    23 hours ago from Disabled Persons
     
  • Associate Branch Manager 

    NEW

    Ameriprise Financial

     - Houston, TX

    Obtain and maintain appropriate registrations to provide oversight on broker/dealer ... 4+ yrs of professional experience. Excellent compliance record and knowledge of compliance...

    23 hours ago from Disabled Persons
     
  • Branch Manager 

    NEW

    Ameriprise Financial

     - Lone Tree, CO

    *FINRA Series 7, 24, 63/66, 65/66 and 9/10 required ... principal registrations to supervise broker dealeroperations, training, and...

    23 hours ago from Disabled Persons
     
  • Associate Director, Quantitative Analytics 

    NEW

    Finra

     - New York City, NY

    broker-dealers by conducting interviews of compliance professionals and ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA is an...

    23 hours ago from Disabled Persons
  • Branch Office Examiner

    American International Group

     - Atlanta, GA

    experience in Compliance or Branch Exams * FINRA series 7, 24 and 65/66 licenses are ... FINRA manual, FINRANotices to Members, Compliance notices and other publications...

    7 days ago from American International Group
     
  • Branch Office Examiner

    American International Group

     - Atlanta, GA

    years of experience in Compliance or Branch Exams • FINRA series 7, 24 and 65/66 licenses ... to Members,Compliance notices and other publications concerning broker/dealer regulation...

    9 days ago from American International Group
     
  • Branch Office Examiner

    AIG Financial Advisors

     - Phoenix, AZ

    years of experience in Compliance or Branch Exams • FINRA series 7, 24 and 65/66 ... to Members, Compliancenotices and other publications concerning broker/dealer...

    10 days ago from BrokerHunter.com
  • enior Counsel- Dispute Advisory Group 

    NEW

    Major International Bank

     - O'fallon, MO

    The Case Attorney position supports all aspects of the retail broker dealer/RIA and insurance agency businesss pre-litigation disputes. The position is responsible for the review,...

    2 hours ago from IvyExec
     
  • Assistant General Counsel- Dispute Advisory Group Manager 

    NEW

    Major International Bank

     - O'fallon, MO

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

    2 hours ago from IvyExec
     
  • Counsel (Contractor) Options Regulation - Market Regulation - Chicago 

    NEW

    Financial Industry Regulatory Authority (finra)

     - Riverdale, IL

    of the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, ... employee) and to authorize their broker-dealers to provide FINRA with duplicate...

    11 hours ago from Just Jobs
     
  • Sr. Associate Counsel/Counsel 

    NEW

    Voya Financial

     - Minneapolis, MN

    the internal and external litigation counsel in support of on-going lawsuits; engage ... to variable universal life and associated broker-dealer issues helpful but not...

    12 hours ago from Voya Financial
     
  • Legal Counsel 

    NEW

    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...

    23 hours ago from Disabled Persons
     
  • Investment Advisor Attorney 

    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...

    23 hours ago from Disabled Persons
     
  • Assoc General Counsel 

    NEW

    Tiaa-cref | Financial Services®

     - Charlotte, NC

    to the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). Provide legal...

    1 day ago from BrokerHunter.com
     
  • Sr Legal Counsel - Investment Advisory & Broker-Dealer 

    NEW
    Kansas City, MO

    department, this attorney will educate, counsel, and advocate for our business ... in connection with investment-advisory, broker-dealer, and bank-securities matters.

    2 days ago from IvyExec
     
  • Assistant General Counsel- Municipal Securities 

    NEW

    Major International Bank

     - New York City, NY

    The General Counsel's Office (GCO) of Citi's Institutional Client Group is seeking an ... Experience with municipal finance, broker-dealer regulation and derivatives a plus.

    3 days ago from IvyExec
     
  • Investment Advisor Attorney

    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...

    4 days ago from Ameriprise Financial, Inc.
     
  • Assoc General Counsel

    Tiaa-cref

     - New York

    to the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). · Provide legal...

    4 days ago from TIAA-CREF
     
  • Deputy Regional Chief Counsel, Enforcement

    Financial Industry Regulatory Authority (finra)

     - San Francisco, CA

    Share responsibility with Regional Chief Counsel working with Member Regulation managers ... and to authorize their broker-dealers to provide FINRA with duplicate statements...

    5 days ago from Just Jobs
     
  • Attorney- Fixed Income- Repo and Securities Lending Attorney

    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...

    5 days ago from Bank of America
     
  • Corporate Attorney

    Kcg Holdings

     - Jersey City, NJ

    but not limited to, equities (broker-dealer, electronic trading, institutional, ... in contractual matters, includingbroker-dealer issues and regulatory implications.

    5 days ago from KCG Holdings, Inc.
     
  • Securities & Insurance Distribution Counsel, Assistant General Counsel (13241)

    New York Life

     - 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
     
  • Managing Counsel

    BNY Mellon

     - New York City, NY

    trade finance or mutual fund or broker dealer lending experience Cross-border transactional experience Excellent analytical and problem-solving skills Excellent drafting and...

    5 days ago from BNY Mellon
     
  • Associate General Counsel (Bank)

    Scottrade

     - St Louis, MO

    laws and regulations. Provide legal counsel to Scottrade Bank lending functions ... credible within the organization and in the broker-dealer community. Excellent...

    6 days ago from BrokerHunter.com
     
  • Associate General Counsel (Securities/Regulatory)

    Scottrade

     - St Louis, MO

    issues to Scottrade, Inc., a broker-dealer, and Scottrade Investment Management, ... by Scottrade, Inc., the firm'sbroker-dealer, and Scottrade Investment Management,...

    6 days ago from BrokerHunter.com
     
  • Senior Counsel

    Complistaff

     - Lake Mary, FL

    for substantive role in its Broker Dealer business. The successful candidate ... & regulatory matters for US & non US broker dealer. Negotiate & draft distribution...

    6 days ago from CompliStaff
     
  • VP Corporate Counsel

    Complistaff

     - Newark, NJ

    insurance and variable annuities; broker dealer counsel including FINRA rules, ... of FINRA rules, insurance laws governing broker dealers as well as life insurance...

    6 days ago from CompliStaff
     
  • Securities Examiner I (PCN 08-3010)

    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.

    7 days ago from State of Alaska
     
  • Attorney-Fixed Income Sales and Trading

    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 *...

    7 days ago from Bank of America
     
  • Sr. Managing Counsel

    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,...

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

    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...

    7 days ago from LPL Financial LLC
     
  • Vice President, Associate Counsel (Advisory)

    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...

    7 days ago from LPL Financial LLC