EMPLOYMENT TUESDAY at BrokeAndBroker.com

April 7, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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

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

SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    Keybank

     - Ann Arbor, MI

    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 investment...

    2 days ago from WisdomJobs.us
     
  • Financial Advisor 

    NEW

    BMO Harris Bank

     - Orland Park, IL

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services...

    3 days ago from Jobing.com
     
  • Financial Advisor

    Peoples Bancorp

     - Beachwood, OH

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

    4 days ago from Peoples Bancorp Inc.
     
  • Financial Advisor

    First Command Financial Services

     - Huntsville, 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...

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

    First Command Financial Services

     - Hagåtña, GU

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

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

    NASA Federal Credit Union

     - Upper Marlboro, MD

    Returning Candidate? Log back in! Financial Advisor All times are in Coordinated Universal Time. Job ID 2098 Location US-MD-Upper Marlboro Experience (Years) .. Posted Date...

    5 days ago from NASA Federal Credit Union
     
  • Financial Advisor

     

    AXA Advisors

     - Brooklyn, NY

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

    5 days ago from AXA Advisors
     
  • Financial Advisor

    Italent Consulting Group

     - Addison, TX

    Financial Representative Responsibilities Do these words describe you...Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The...

    6 days ago from iTalent Consulting Group
     
  • Financial Advisor

    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...

    7 days ago from CyberCoders
     
  • Financial Advisor

    AIG Financial Advisors

     - Fresno, CA

    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.

    8 days ago from BrokerHunter.com
     
  • Financial Advisor

    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...

    9 days ago from RegionalHelpWanted
     
  • Financial Advisor

    Multinational Spanish Banking Group

     - Turlock, CA

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

    9 days ago from IvyExec
     
  • Financial Advisor

    Major Mutual Fund Investment Management Company

     - Valley Forge, PA

    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...

    10 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...

    12 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...

    12 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...

    12 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.

    13 days ago from BrokerHunter.com
     
  • Financial Advisor

    AIG

     - Indianapolis, IN

    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...

    13 days ago from AIG
     
  • 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,...

    19 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...

    19 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...

    20 days ago from Jobing.com
  • Financial Planner

    AXA Advisors

     - Williamsville, NY

    Do you have what it takes to make 6 figures? Rewarding opportunities are available for achievement-driven individuals with an "entrepreneurial" spirit to build a thriving...

    4 days ago from AXA Advisors
     
  • Financial Advisor

     

    AXA Advisors

     - Brooklyn, NY

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

    5 days ago from AXA Advisors
     
  • 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 days ago from AXA Advisors
  • Anticipated Private Client Advisor - Chase Wealth Management - Rolling Hills Estates 

    NEW

    JPMorgan Chase

     - Long Beach, CA

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

    1 day ago from JPMorgan Chase & Co
     
  • Investment Assistant - Emerging High Net Worth - Series 7 & 63 Required 

    NEW

    JPMorgan Chase

     - Chicago, IL

    The Private Client Direct business is a part of JPMorgan's Private Wealth Management business. Private Wealth Management (PWM) is a wealth management business of JPMorgan focused...

    3 days ago from JPMorgan Chase & Co
     
  • Trade Support Specialist

    JPMorgan Chase

     - Newark, DE

    Business Background The Global Fixed Income Securities Cash Middle Office is primarily responsible for the trade management and control of both the standard and non standard...

    4 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Southwest Houston, Texas Area

    JPMorgan Chase

     - Sugar Land, TX

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Financial Advisor - Mansfield, TX (Debbie and Matlock)

    JPMorgan Chase

     - Mansfield, TX

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

    5 days ago from JPMorgan Chase & Co
     
  • Legal - Assistant General Counsel - Corporate & Investment Bank, Cash Equities - ED (NYC)

    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
     
  • Chase Wealth Management - Financial Advisor - San Antonio, TX (Marbach) Bilingual Spanish Preferred

    JPMorgan Chase

     - San Antonio, TX

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

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

    JPMorgan Chase

     - Lima, 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
     
  • Supervisory Manager - Chase Wealth Management

    JPMorgan Chase

     - Cleveland, OH

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

    5 days ago from JPMorgan Chase & Co
     
  • Asset Management - Private Bank - Investment Specialist - VP/ED

    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...

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

    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...

    7 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Public Finance Advisory - 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...

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

    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...

    10 days ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate

    JPMorgan Chase

     - New York City, NY

    Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.3 trillion and...

    10 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...

    11 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...

    11 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...

    11 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...

    11 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 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...

    12 days ago from JPMorgan Chase
  • Managing Sales Director II

    MetLife

     - California

    Job Location Brea, CA Job Description Managing Sales Director II SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director II is to advance the Financial...

    4 days ago from MetLife
     
  • Recruiting Coordinator

    MetLife

     - Massachusetts

    Job Location Wakefield, MA Job Description Provide ongoing support to firm management in achieving recruiting objectives. Participate in activities and events to assist in...

    5 days ago from MetLife
     
  • Assistant Operations Manager (Financial Services Sales Office)

    MetLife

     - Maryland

    Job Location Elkridge, MD Job Description Job Summary: Provides administrative support to an insurance and financial services sales agency. Functional Responsibilities: - Provides...

    5 days ago from MetLife
     
  • Senior Financial Planning Coordinator

    MetLife

     - New Jersey

    Job Location Somerset, NJ or Boston, MA Job Description Job Summary: The Financial Planning Coordinator serves as the first line of contact for all incoming inquires to the...

    5 days ago from MetLife
     
  • Director Digital and Marketing Communications

    MetLife

     - North Carolina

    Job Location Charlotte, NC Job Description Summary of Responsibilities: The Director - Digital and Marketing Communications: Manages a team of individuals responsible for all...

    5 days ago from MetLife
     
  • Experienced Financial Services Representative

    MetLife

     - Pennsylvania

    Description Financial Services Representatives (FSRs) are responsible for the marketing, sale and service of MetLife products that meet the needs of clients. Establish a financial...

    6 days ago from MetLife
     
  • Financial Services Representative MetLife Resources

    MetLife

     - Oklahoma

    Description Every so often it's worth taking the time to evaluate information on new opportunities. That time has arrived. At MetLife Resources, a division of the Metropolitan...

    6 days ago from MetLife
     
  • Financial Services Representative

    MetLife

     - New Jersey

    Description Summary of Responsibilities: Financial Services Representatives (FSRs) are responsible for the marketing, sale and service of MetLife products that meet the needs of...

    6 days ago from MetLife
     
  • Financial Services Team Associate

    MetLife

     - New Jersey

    Description This job can become a career and lead an individual to a life of significance, where the individual will positively impact peoples' lives. We at MetLife believe this...

    6 days ago from MetLife
     
  • 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...

    11 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...

    11 days ago from MetLife
  • Compliance Officer

    Global Leader In Investment Management

     - Jersey City, NJ

    Further, subject matter expertise is required for brokerage operations, SEC/FINRA/OCC rule ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...

    5 days ago from IvyExec
     
  • Compliance Officer

    Interactive Brokers

     - Greenwich, CT

    commission merchant, as well as a member of FINRA and the NFA. Our legal and compliance ... The ComplianceOfficer position requires familiarity with SEC, FINRA, CFTC and NFA rules a...

    5 days ago from Interactive Brokers
  • Chief Compliance Officer

    Compliance Search International

     - Chicago, IL

    Job Description: To serve as Chief Compliance Officer of LaSalle Investment Management's ... advisory business in the Americas, compliance officer of LaSalle Investment...

    10 days ago from Compliance Search Group
  • Compliance Analyst

    Jackson National Life Insurance Company

     - Appleton, WI

    Compliance Analyst. SII is a full-service broker/dealer serving independent financial ... (NPH) network of independent broker/dealers, SII is affiliated with Jackson National Life...

    4 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...

    12 days ago from Dimensional Fund Advisors
  • Compliance Officer Market Surveillance

    Citi

     - Jersey City, NJ

    Market Surveillance provides independent compliance coverage for the Equities, Fixed ... experience in capital markets or securities compliance. The candidate should have strong...

    18 days ago from Citi
     
  • Senior Compliance Officer Equities (Multi Asset Group)

    Citi

     - New York City, NY

    documents and processes to ensure compliance with regulatory requirements and ... guidance and administering the Firm's Compliance policies/procedures in a timely...

    21 days ago from Citi
     
  • Assistant Compliance Officer

    Purshe Kaplan Sterling Investments

     - Albany, NY

    NY, is seeking an Assistant Compliance Officer in its Albany, NY office. Candidates ... resume to Lisa M. Evans, Chief Compliance Officer at Purshe Kaplan Sterling...

    9 days ago from RegionalHelpWanted
     
  • Investment Banking Compliance Officer-VP

    Compliance Search Group

     - New York City, NY

    • Provide regulatory/compliance training ... bank seeks a Corporate Banking & Securities, Compliance Officer who will be...

    10 days ago from eFinancial Careers
     
  • Chief Compliance Officer (CCO)

    Compliance Search Group

     - New York City, NY

    Chief Compliance Officer (CCO) A Global Advisory firm seeks a Chief Compliance Officer ... maintain and enforce adequate compliance policies and procedures. • Provide compliance...

    7 days ago from The Ladders
     
  • Compliance Officer Fixed Income (Credit Markets)

    Citi

     - New York City, NY

    The position is for a Fixed Income Compliance Officer within Citi's ... approvals and interpretation of internalcompliance policies; * Draft compliance...

    21 days ago from Citi
     
  • Sr. Compliance Officer to CCO - Investment Management

    Compliance Search Group

     - New York City, NY

    Sr. Compliance Officer to CCO - Investment Management (ETF & Mutual Fund Background ... fund suites. They are looking for a Senior Compliance Officer who would grow into a CCO...

    11 days ago from The Ladders
     
  • PNCI - Regional Supervisory Officer

    PNC

     - Louisville, KY

    REGIONAL SUPERVISORY OFFICER The PNC Investments Regional Supervisory Officer (RSO) will ... REQUIREMENTS: FINRA Series 7 and 66 or (63 & 65) licenses, also FINRA Series 8 or (9 & 10)...

    9 days ago from PNC Bank
     
  • Compliance Officer Markets LATAM

    Citi

     - Fort Lauderdale, FL

    Description The Market Compliance Officer is responsible for the implementation of the ... The MarketCompliance Officer makes recommendations on the development of compliance polic...

    21 days ago from Citi
     
  • Banking and Securities Compliance Officer

    Michael Page International - US

     - Manhattan, NY

    and applicable securities laws and FINRA regulations Identify regulatory trends ... relevant policies and procedures Provide compliance training Implement and document...

    6 days ago from eFinancial Careers
     
  • Marketing Review Compliance Officer

    Michael Page International - US

     - New York City, NY

    Officer Review marketing materials to ensure compliance with relevant regulatory ... Bonus Potential Marketing Review Compliance Officer needed for Top Tier Alternative...

    6 days ago from eFinancial Careers
     
  • Senior Compliance Officer 

    NEW

    Leading Financial Services Firm

     - Stamford, CT

    Responsibilities for Senior Compliance Officer: · Provide compliance support for equity ... regulation Qualifications for Senior Compliance Officer: · Minimum 5 years of experience...

    1 hour ago from IvyExec
     
  • Credit, Risk Management and Compliance

    Truebridge Resourses

     - San Francisco, CA

    of credit, risk management andor regulatory compliance. Hybrid profiles are preferred ... as the Chief RiskOfficer, Chief Compliance Officer, Internal audit or Regulatory...

    11 days ago from Dice
     
  • Compliance Officer // AML 

    NEW

    Leading Financial Services Firm

     - Omaha, NE

    he Anti-money laundering function within the Compliance Department is responsible for ... Strong Leadership skills Familiarity with FINRA and SEC rules and legal cases governing...

    18 hours ago from IvyExec
     
  • Associate Compliance Officer| VP of Operations| AML Officer 

    NEW

    Lucia Capital Group

     - San Diego, CA

    seeking an experienced Associate Compliance Officer| VP of Operations| AML Officer for ... Job Description: The Associate Compliance Officer| VP of Operations| AML Officer is...

    2 days ago from ZipRecruiter
     
  • Compliance Officer Capital Markets and Alternative Investments |

    Compliance Search

     - New York City, NY

    investments The Candidate will provide compliance support for the Solutions and ... desksA Global bank seeks aCompliance Officer who will be responsible for Capital...

    30+ days ago from Doostang
     
  • Regulatory Compliance Manager 

    NEW

    Velossent

     - Atlanta, GA

    will work directly with the Chief Compliance Officer (CCO) and Financial Operations ... institutions in compliancewith SEC, FINRA, AML and related regulations is...

    2 days ago from Jobvertise
     
  • Broker / Dealer Compliance Officer

    Compliance Search Group

     - Los Angeles, CA

    Broker/ Dealer Compliance Officer A privately-owned investment advisory firm that focuses ... complianceprofessional for the role of Compliance Officer. The Compliance Officer...

    18 days ago from The Ladders
     
  • Compliance Officer

    Craig Scott Capital

     - Uniondale, NY

    Job Description: Regulatory Compliance Officer Generalist with strong compliance ... Comprehensive understanding of SEC/FINRA Rules and Regulations...

    6 days ago from ZipRecruiter
     
  • Compliance Officer

    Global Leader In Investment Management

     - Jersey City, NJ

    Further, subject matter expertise is required for brokerage operations, SEC/FINRA/OCC rule ... Qualifications Minimum five years of Compliance experience at a Broker-Dealer,...

    5 days ago from IvyExec
     
  • Expert Practitioner-Credit, Risk Management, and Compliance

    Truebridge Resources

     - San Francisco, CA

    as the Chief Risk Officer, Chief Compliance Officer, Internal audit or Regulatory ... credit risk, risk management, and regulatory compliance.

    17 days ago from Money Jobs
     
  • Compliance Officer II

    Bank of the West

     - San Ramon, CA

    * Liaise with Group and/or Division Compliance and Corporate Compliance * Monitors major a ... **Job:** **Compliance** **Title:** **Compliance Officer II** **Location:**...

    30+ days ago from Professional Diversity Network
     
  • Compliance Officer 

    NEW

    Leading Financial Services Firm

     - Manhattan, NY

    Conduct reviews to assess compliance and operational risks, develop associated controls ... reviewing advertising material for compliance with FINRA regulations Knowledge...

    1 day ago from IvyExec
     
  • Senior Compliance Officer- Investment Banking & Research

    Human Resources Focused Consulting Firm

     - New York City, NY

    responsibility of the IB and Research Compliance Officer is to provide primary compliance ... Conduct compliancetesting per FINRA regulations Provide Compliance Chaperone coverage...

    30+ days ago from IvyExec
     
  • Compliance Officer- Market Surveillance

    Major International Bank

     - Jersey City, NJ

    Market Surveillance provides independent compliance coverage for the Equities, Fixed ... experience in capital markets or securities compliance. The candidate should have strong...

    5 days ago from IvyExec

Enforcement Counsel

Finra

 - Rockville, MD

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

9 days ago from Disabled Persons
  • Assoc General Counsel

    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...

    8 days ago from BrokerHunter.com
     
  • Assoc General Counsel

    Tiaa-cref

     - 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...

    9 days ago from TIAA CREF
     
  • 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...

    11 days ago from TIAA-CREF
  • 3 days ago from Toyota
     
  • 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...

    12 days ago from BNY Mellon
  • Managing Counsel 

    NEW

    Toyota Financial Services

     - Torrance, CA

    Managing Counsel in advising with respect to broker-dealer legal issues. * Design and ... groups, including: *Dealer Lending, Dealer Products and Commercial Finance o...

    7 hours ago from Toyota Financial Services
     
  • Vice President, Senior Counsel 

    NEW
    New York City, NY

    litigation risks, and managing outside counsel as appropriate. This attorney will be a ... and outside counsel as necessary in support of all of the Firm's functions.

    18 hours ago from IvyExec
     
  • 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...

    1 day ago from Disabled Persons
     
  • Paralegal-Administration & Operations Associate Legal and Compliance 

    NEW

    Mla Global

     - New York City, NY

    academic credentials. Experience at broker-dealer, trading or asset management ... duties including: Assisting the General Counsel and other members of the Legal and...

    2 days ago from MLA Global
     
  • Paralegal-Administration & Operations Associate Legal and Compliance 

    NEW

    Mla Global

     - New York City, NY

    academic credentials. Experience at broker-dealer, trading or asset management ... duties including: Assisting the General Counsel and other members of the Legal and...

    2 days ago from MLA Global
     
  • Corporate Attorney 

    NEW

    Compliance Search International

     - Jersey City, NJ

    including, but not limited to, equities (broker-dealer, electronic trading, ... clients in contractual matters, including broker-dealer issues and regulatory...

    3 days ago from Compliance Search Group
     
  • Managing Counsel 

    NEW

    Toyota

     - Los Angeles, CA

    matters. • Assist Managing Counsel in advising with respect to broker-dealer ... groups, including: • DealerLending, Dealer Products and Commercial Finance o Advise...

    3 days ago from Toyota
     
  • Vice President & Chief Counsel Data Initiatives 

    NEW
    Newark, NJ

    laws governing variable and fixed products, broker-dealers, and investment advisory ... This senior attorney will provide counsel and advice to various internal...

    3 days ago from IvyExec
     
  • Corporate Attorney

    Global Firm Providing Access To Capital Markets To Buy- and Sell-side Firms, and Corporations

     - Jersey City, NJ

    in contractual matters, including broker-dealer issues and regulatory implications. ... including the ability to provide counsel on the formulation of policy; strong...

    4 days ago from IvyExec
     
  • Legal - Assistant General Counsel - Corporate & Investment Bank, Cash Equities - ED (NYC)

    JPMorgan Chase

     - New York City, NY

    equity research, sales and trading, broker-dealer regulatory requirements, SEC and SRO ... institution advising onbroker-dealer regulatory issues, cash equity trading issues...

    5 days ago from JPMorgan Chase & Co
     
  • Associate General Counsel (Securities Litigation and Enforcement, Washington, D.C.)

    Interactive Brokers

     - Washington, DC

    with experience in securities and broker-dealer issues to become a litigation-focused ... counsel) Coordinating with outside counsel on court actions involving the firm...

    5 days ago from Interactive Brokers
     
  • Director Audit Institutional (104153)

    TD Ameritrade

     - Fort Worth, TX

    B/D related) * Extensive knowledge of broker/dealer business models; regulatory requirements; and key processes, controls and exposure areas. Specific knowledge of independent...

    5 days ago from TD Ameritrade
     
  • Securities Attorney (Part Time or Of Counsel) (CLS 1128)

    Chicago Legal Search

     - Chicago, IL

    is 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...

    5 days ago from Get Lawyer Jobs
     
  • Counsel (Contractor) Options Regulation - Market Regulation

    Finra

     - Chicago, IL

    of the Chief Counsel or Assistant Chief Counsel to the Market Regulation Department, ... and to authorize theirbroker-dealers to provide FINRA with duplicate statements...

    5 days ago from Disabled Persons
     
  • Corporate Contracts Counsel

    Mla Global

     - New York City, NY

    Corporate Contracts Counsel New York, NY An established and growing proprietary trading ... trading industry and contracts common to broker/dealer operations. In-house experience...

    6 days ago from MLA Global
     
  • Vice President Associate Counsel (Advisory)

    Compliance Search International

     - Charlotte, NC

    including senior attorneys, Deputy General Counsel and General Counsel, with the ... issues affecting the company as RIA and broker-dealer Implementation of new and...

    6 days ago from Compliance Search Group
     
  • In-House Derivatves Counsel

    Amato Legal Search

     - New York City, NY

    seeks 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...

    6 days ago from Webscribble
     
  • Senior Counsel- Dispute Advisory Group

    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,...

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

    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...

    7 days ago from IvyExec
     
  • Counsel (Contractor) Options Regulation - Market Regulation - Chicago

    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...

    7 days ago from Just Jobs
     
  • Sr. Associate Counsel/Counsel

    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...

    7 days ago from Voya Financial
     
  • Assoc General Counsel

    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...

    8 days ago from BrokerHunter.com
     
  • Assoc General Counsel

    Tiaa-cref

     - 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...

    9 days ago from TIAA CREF
     
  • Sr Legal Counsel - Investment Advisory & Broker-Dealer

    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.

    9 days ago from IvyExec