EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog

April 14, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    BMO Financial Group

     - Palatine, 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'...

    4 hours ago from BMO Financial Group
     
  • Financial Advisor 

    NEW

    CUNA Mutual Group/cuna Brokerage Services

     - Montpelier, VT

    Work Location: Montpelier, Vermont, United States. We are seeking an uncommon professional to join our team as a Financial Advisor. Job Responsibilities: Serve Your Clients: 1.

    9 hours ago from CUNA Mutual Group/CUNA Brokerage...
     
  • Financial Advisor

    BB&T

     - Reston, VA

    Auto req ID 28093BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Reston, VA - 11100 South Lakes Drive Language Fluency English...

    4 days ago from BB&T
     
  • Financial Advisor

    American International Group

     - Youngstown, 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

    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...

    5 days ago from KeyBank
     
  • Financial Advisor

    NASA Federal Credit Union

     - Upper Marlboro, MD

    The Financial Advisor provides professional advisory services to Private and Business clients. Prepares and delivers comprehensive financial plans that may include portfolio...

    5 days ago from NASA Federal Credit Union
     
  • 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...

    5 days ago from CareerRookie.com
     
  • Financial Advisor

    Ninjob | Employment Marketing

     - Huntersville, NC

    Do these words describe you…Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The Principal Financial Group® is growing and is...

    6 days ago from Ninjob | Employment Marketing
     
  • Financial Advisor

    AIG Financial Advisors

     - Youngstown, OH

    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

    BMO Harris Bank

     - Palatine, 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...

    6 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...

    11 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...

    12 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...

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

    Italent Consulting Group

     - Addison, TX

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

    13 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...

    14 days ago from CyberCoders
     
  • 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...

    16 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...

    16 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...

    17 days ago from IvyExec
  • inancial Advisor 

    NEW

    BMO Financial Group

     - Palatine, 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'...

    4 hours ago from BMO Financial Group
     
  • Financial Advisor 

    NEW

    CUNA Mutual Group/cuna Brokerage Services

     - Montpelier, VT

    Work Location: Montpelier, Vermont, United States. We are seeking an uncommon professional to join our team as a Financial Advisor. Job Responsibilities: Serve Your Clients: 1.

    9 hours ago from CUNA Mutual Group/CUNA Brokerage...
     
  • Financial Advisor

    BB&T

     - Reston, VA

    Auto req ID 28093BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Reston, VA - 11100 South Lakes Drive Language Fluency English...

    4 days ago from BB&T
     
  • Financial Advisor

    American International Group

     - Youngstown, 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

    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...

    5 days ago from KeyBank
     
  • Financial Advisor

    NASA Federal Credit Union

     - Upper Marlboro, MD

    The Financial Advisor provides professional advisory services to Private and Business clients. Prepares and delivers comprehensive financial plans that may include portfolio...

    5 days ago from NASA Federal Credit Union
     
  • 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...

    5 days ago from CareerRookie.com
     
  • Financial Advisor

    Ninjob | Employment Marketing

     - Huntersville, NC

    Do these words describe you…Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The Principal Financial Group® is growing and is...

    6 days ago from Ninjob | Employment Marketing
     
  • Financial Advisor

    AIG Financial Advisors

     - Youngstown, OH

    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

    BMO Harris Bank

     - Palatine, 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...

    6 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...

    11 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...

    12 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...

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

    Italent Consulting Group

     - Addison, TX

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

    13 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...

    14 days ago from CyberCoders
     
  • 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...

    16 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...

    16 days ago from IvyExec
  • Investment Specialist - HNW Closely Held Businesss Group 

    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...

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

    NEW

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...

    5 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Huntington Beach, CA (Edinger) 

    NEW

    JPMorgan Chase

     - Huntington Beach, CA

    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...

    5 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Market Director - San Fernando Valley 

    NEW

    JPMorgan Chase

     - Canoga Park, CA

    Chase Wealth Management Market Director Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global...

    5 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Beaverton / Hillsboro 

    NEW

    JPMorgan Chase

     - Beaverton, OR

    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 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Portland, OR (Bethany Village) 

    NEW

    JPMorgan Chase

     - Portland, OR

    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...

    5 hours ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Lake Oswego 

    NEW

    JPMorgan Chase

     - Milwaukie, OR

    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 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Financial Advisor Associate - Madison, WI (Sauk Creek) 

    NEW

    JPMorgan Chase

     - Madison, WI

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

    NEW

    JPMorgan Chase

     - Columbus, OH

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

    5 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...

    5 hours ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Broussard Albertsons 

    NEW

    JPMorgan Chase

     - Broussard, LA

    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 hours ago from JPMorgan Chase & Co
     
  • Cross Line of Business Emerging Risk - Audit Manager - Risk Management/Compliance 

    NEW

    JPMorgan Chase

     - Columbus, OH

    About JP Morgan Chase & Co. JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of %242.2 trillion. The firm is a leader in investment banking,...

    5 hours ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Pflugerville HEB 

    NEW

    JPMorgan Chase

     - Pflugerville, TX

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

    5 hours 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 $2.3...

    4 days ago from JPMorgan Chase
     
  • 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...

    4 days ago from JPMorgan Chase
     
  • 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...

    4 days ago from JPMorgan Chase
     
  • 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...

    4 days ago from JPMorgan Chase
     
  • In-Store Personal Banker-Parmer HEB

    JPMorgan Chase

     - Austin, TX

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

    4 days ago from JPMorgan Chase
     
  • 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...

    5 days ago from JPMorgan Chase
     
  • 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
     
  • 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...

    5 days ago from JPMorgan Chase
     
  • Chase Wealth Management - Financial Advisor Associate

    JPMorgan Chase

     - Mount Sinai, 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
     
  • Compliance Officer

    Hanson McClain Advisors

     - Sacramento, CA

    registered representatives on complex broker-dealer / investment adviser issues, FINRA, ... We are a FINRARegistered Broker/Dealer and SEC Registered Investment Advisor providing in...

    5 days ago from Hanson McClain Advisors
     
  • 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,...

    12 days ago from IvyExec
     
  • Compliance Officer

    Interactive Brokers

     - Greenwich, CT

    Brokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures ... NFA, a law firm, an exchange or another broker-dealer or FCM. Member in good standing...

    12 days ago from Interactive Brokers
  • Compliance Examiner, Member Regulation 

    NEW

    Finra

     - Boca Raton, FL

    for regulatory cause, and activities of broker-dealer personnel to assess fair ... comprehensive written and verbal reports to broker-dealer executives and FINRA...

    3 days ago from FINRA
  • ompliance Examiner - Member Regulation, Sales Practice - Chicago 

    NEW

    Financial Industry Regulatory Authority (finra)

     - Riverdale, IL

    reports to broker-dealer executives and FINRA management, including information ... with opportunities to interact with broker-dealer and FINRA senior managers. To...

    1 hour ago from Just Jobs
     
  • Compliance Electronic Communications Surveillance Analyst 

    NEW

    Waddell and Reed

     - Overland Park, KS

    of appropriateness. 4. Cross-train with Compliance Surveillance Analysts and ... 3. Familiarity with broker-dealercompliance and supervision systems is...

    1 hour ago from Waddell and Reed
     
  • Financial Associate 

    NEW

    Webster Bank

     - Wallingford, CT

    interactions are in in compliance with FINRA regulations (e.g., orderly customer ... requirements of the BrokerDealer/RIA. • AFC will also have responsibility to...

    1 hour ago from Webster Bank
     
  • Branch Manager 

    NEW

    Ameriprise Financial

     - Dayton, OH

    FINRA Series 7, 24, 63/66, 65/66 and 9/10 required ... registrations to supervise broker dealer operations, training, and marketing/advertising. •Maintain state securities...

    6 hours ago from Ameriprise Financial, Inc.
     
  • Financial and Operations Principal 

    NEW

    Securities Compliance Management

     - Alpharetta, GA

    is a leading provider of compliance management solutions for independent broker-dealer fir ... financial responsibilities of a registered broker-dealer. Responsibilities of FINOP: You...

    11 hours ago from The Ladders
     
  • Compliance Manager 

    NEW

    Securities Compliance Management

     - Alpharetta, GA

    is a leading provider of compliance management solutions for independent broker-dealer fir ... Working knowledge of SEC and/or FINRA regulation desirable...

    11 hours ago from The Ladders
     
  • Regional Sales Director - Channel Insurance Sales 

    NEW

    Insurance and Investment Management Holding Company

     - Charlotte, NC

    Group (LFG) strategies, goals and compliance procedures Interview, screen and ... within the marketplace to deepen broker dealer opportunities Partners with Lincoln...

    12 hours ago from IvyExec
     
  • Supervisory Principal 

    NEW

    Insurance and Investment Management Holding Company

     - Concord, NH

    · Ensures that all broker dealer, investment advisor and registered ... work experience · FINRA Series 7 required ·FINRA Series 24 required · FINRA Series...

    12 hours ago from IvyExec
     
  • Audit Manager 

    NEW

    Insurance and Investment Management Holding Company

     - Greensboro, NC

    to address all privacy compliance concerns, requirements and responsibilities · ... and broker-dealer businesses and the drivers of financial and operational strength...

    12 hours ago from IvyExec
     
  • Senior Auditor 

    NEW
    New York City, NY

    US and/or global industry experience with broker-dealer, investment management, bank prefe ... Specific knowledge of financial services regulations (SEC, FINRA, ESMA, etc.) a plus Willi...

    12 hours ago from IvyExec
     
  • Compliance Officer - FRC Advisory 

    NEW

    UBS - Finance Industry

     - New York City, NY

    Advisory - responsible for providing compliance coverage to the UBS Investment ... a plus) Relevant experience in another broker-dealer/bank, SRO or law firm Strong...

    18 hours ago from VelvetJobs
     
  • WMA Equities Compliance Officer 

    NEW

    UBS - Finance Industry

     - Weehawken, NJ

    • Supervise semi-annual OATS compliance review. • Monitor for new SEC and FINRA ... in broker dealercompliance with a strong knowledge of the equities and options...

    18 hours ago from VelvetJobs
     
  • BRCM Analyst 

    NEW

    HSBC - Finance Industry

     - New York City, NY

    environment within a bank or broker dealer supporting Collateral Management ... any Compliance policy including, inter alia, the Group Compliance policy. Knowledge...

    18 hours ago from VelvetJobs
     
  • Alternative Net Capital (ANC) Examiner - Member Regulation, ROOR 

    NEW

    Finra

     - New York City, NY

    Exposure to numerous areas of a broker-dealer's business. Overnight travel ... qualified protected veterans. ©2015 FINRA. All rights reserved. FINRA is a...

    1 day ago from Jofdav
     
  • Regulatory Analyst (Contractor) Chicago Equities Surveillance - Market Regulation 

    NEW

    Finra

     - Chicago, IL

    employee) and to authorize their broker-dealers to provide FINRA with duplicate ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA...

    1 day ago from Jofdav
     
  • Regulatory Analyst, Office of Fraud Detection and Market Intelligence - Insider Trading - Rockville

    NEW

    Financial Industry Regulatory Authority (finra)

     - Potomac, MD

    enforced by FINRA; performs preventive compliance functions. Presents investigative ... employee) and to authorize their broker-dealers to provide FINRA with duplicate...

    1 day ago from Just Jobs
     
  • Project Manager - Regulatory Compliance MA- NYC 

    NEW

    X-pertize

     - Roxbury Crossing, MA

    in another FI and or Broker DealerFCM Compliance, Operations or Regulatory ... Project Manager, RegulatoryCompliance ,Broker Dealer/FCM, MS Project...

    1 day ago from Dice
     
  • OSJ Manager 

    NEW

    Leading Provider of Insurance, Investments, and Retirement Products

     - Duluth, GA

    assigned to the OSJ Manager for all broker dealer and investment advisory ... Representative's completion andcompliance with the firm's Annual Compliance Meeting...

    1 day ago from IvyExec
     
  • Attorney-Credit Fixed Income (Capital Markets) 

    NEW

    US Bank

     - Charlotte, NC

    Investments, Inc., a registered broker-dealer, underwrites and sells investment ... review of international securities and broker-dealer laws and regulations, review...

    1 day ago from Job.com
     
  • Policy, Training & Marketing Compliance Consultant 

    NEW

    American Bank Holding Company

     - Atlanta, GA

    partnering with Corporate Compliance, assisting during regulatory examinations, ... particularly broker-dealerpolicies and procedures. Bank broker-dealer experience. •...

    1 day ago from IvyExec
     
  • External Wholesaler 

    NEW

    Black Creek Capital

     - New York

    marketplace, with an emphasis on independent broker-dealers. The position will represent ... annuity wholesaling experience required. FINRA Series 7 and 63 licenses required.

    1 day ago from Xerox Audio Visual Solutions
     
  • Information Technology Risk and Controls Examiner 

    NEW

    Independent Securities Regulator

     - New York City, NY

    critical information, and to ensure compliance with SEC and FINRA rules and ... Exposure to numerous areas of a broker-dealers business Financial Services,...

    2 days ago from IvyExec
     
  • Information Technology Risk and Controls Examiner, Member Regulation, ROOR 

    NEW

    Independent Securities Regulator

     - New York City, NY

    critical information, and to ensure compliance with SEC and FINRA rules and ... Exposure to numerous areas of a broker-dealers business Financial Services, Risk...

    2 days ago from IvyExec
     
  • Compliance Examiner - Member Regulation, Sales Practice 

    NEW

    Independent Securities Regulator

     - New York City, NY

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

    2 days ago from IvyExec
  • Assoc General Counsel

    Tiaa-cref

     - Denver, CO

    our website.* TIAA-CREF seeks an attorney who will report to the Senior ... entities distributing insurance products (broker dealers, trust company). · Provide legal...

    5 days ago from TIAA-CREF
     
  • 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...

    15 days ago from BrokerHunter.com
  • Managing Counsel 

    NEW

    Toyota

     - Dallas, TX

    Counsel, you will: Position Summary: This attorney will be part of the Corporate ... regulatory matters. • Assist Managing Counsel in advising with respect to broker-dealer...

    8 hours ago from Toyota
     
  • Managing Counsel

    Torrance, CA

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

    4 days ago from IvyExec
     
  • Managing Counsel

    Toyota Financial Services

     - Torrance, CA

    Counsel, you will: Position Summary: This attorney will be part of the Corporate ... Counsel in advising with respect to broker-dealer legal issues. * Design and implement...

    7 days ago from Toyota Financial Services
  • Attorney 

    NEW

    Leading Provider of Insurance, Investments, and Retirement Products

     - Los Angeles, CA

    and negotiate investment advisory, broker-dealer , and other agreements Provide ... reviews for the investment adviser, and broker-dealer and recordkeeper. Assist on...

    1 day ago from IvyExec
     
  • Attorney-Credit Fixed Income (Capital Markets) 

    NEW

    US Bank

     - Charlotte, NC

    Investments, Inc., a registered broker-dealer, underwrites and sells investment ... review of international securities and broker-dealer laws and regulations, review...

    1 day ago from Job.com
     
  • Private Banking Wealth Management Lawyer 

    NEW

    Multinational Financial Services Holding Company

     - New York City, NY

    risks, and strategic initiatives. The Attorney will assist in completing various ... Commodity Pool Operator. Finally, the Attorney will advise on various broker-dealer...

    2 days ago from IvyExec
     
  • Paralegal / Compliance Specialist 

    NEW

    Kelly Services

     - Florham Park, NJ

    Minimum of 3 years experience in broker-dealer regulatory compliance matters. (Paralegal experience in this field is acceptable, as this role is similar to a corporate paralegal)...

    3 days ago from Kelly Services
     
  • Corporate Counsel 

    NEW

    Loyal3

     - San Francisco, CA

    department, including advice on broker-dealer regulations and development of corporate ... culture Research corporate, securities and broker-dealer laws and regulations, and other...

    3 days ago from LOYAL3
     
  • Senior Counsel - General Brokerage Services

    Global Leader In Investment Management

     - Jersey City, NJ

    of 10 years of experience in a broker-dealer, financial institution and/or law firm ... license - Minimum of 10 years experience in broker-dealer, financial institution and/or...

    4 days ago from IvyExec
     
  • Managing Counsel

    Torrance, CA

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

    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 on broker-dealer regulatory issues, cash equity trading issues...

    5 days ago from JPMorgan Chase
     
  • Associate General Counsel (Bank)

    Scottrade

     - St Louis, MO

    Scottrade, Inc. has a Associate General Counsel (Bank)position available inSt. Louis, ... credible within the organization and in the broker-dealer community. * Excellent...

    5 days ago from Scottrade
     
  • 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,...

    5 days ago from Scottrade
     
  • Counsel (Contractor) Options Regulation - Market Regulation

    Financial Industry Regulatory Authority

     - 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 Financial Industry Regulatory...
     
  • Assoc General Counsel

    Tiaa-cref

     - Denver, CO

    our website.* TIAA-CREF seeks an attorney who will report to the Senior ... entities distributing insurance products (broker dealers, trust company). · Provide legal...

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

    Financial Industry Regulatory Authority

     - San Francisco, CA

    meetings held with the Regional Chief Counsel, supervise attorneys and the matters ... proceedings; and, serve as co-counsel with attorneys, when necessary, to help...

    5 days ago from Financial Industry Regulatory...
     
  • Senior Counsel

    SVB

     - California

    Group and Wine Division. The attorney will provide strategic guidance, ... The company also offers funds management, broker-dealer transactions and asset management,...

    5 days ago from SVB
     
  • Senior Analyst, Investor Strategy

    Asian American Lawyers Association of Massachusetts (aalam)

     - Boston, MA

    broker/dealer and fourth largest broker/dealer with more than 13,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    5 days ago from The Asian American Lawyers Association...
     
  • Counsel - Investment Adviser's 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...

    6 days ago from Ameriprise Financial, Inc.
     
  • 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,...

    6 days ago from BNY Mellon
     
  • Managing Counsel

    Toyota Financial Services

     - Torrance, CA

    Counsel, you will: Position Summary: This attorney will be part of the Corporate ... Counsel in advising with respect to broker-dealer legal issues. * Design and implement...

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

    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.

    7 days ago from IvyExec
     
  • 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...

    8 days ago from Disabled Persons
     
  • Paralegal-Administration & Operations Associate Legal and Compliance

    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...

    9 days ago from MLA Global
     
  • Corporate Attorney

    Compliance Search International

     - Jersey City, NJ

    contracts of various nature involving KCG's broker-dealer and operating subsidiaries, ... including, but not limited to, equities (broker-dealer, electronic trading,...

    10 days ago from Compliance Search Group
     
  • Vice President & Chief Counsel Data Initiatives

    Newark, NJ

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

    10 days ago from IvyExec
     
  • Corporate Attorney

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

     - Jersey City, NJ

    clients in contractual matters, including broker-dealer issues and regulatory implications. Working knowledge of the '33 Act and the '34 Exchange Act and regulations thereunder.

    11 days ago from IvyExec