EMPLOYMENT TUESDAY At BrokeAndBroker.com
April 28, 2015
Financial Advisor
NEWBMO
- Kokomo, INPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Advisor
NEWBank of the West
- Aurora, COWhat 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...
Financial Advisor
NEWBMO Harris Bank
- Palatine, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Advisor
Massmutual Financial Group
- Boardman, OHJob Description Sales professionals: take your practice to the next level Not all financial services companies are the same. Product offerings, producer support, ongoing training...
Financial Advisor
AIG
- Raleigh, NCWhy VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Financial Advisor
Keybank
- Wenatchee, WAABOUT 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...
Financial Advisor
AIG
- Danville, VAWhy VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Financial Advisor
First Command Financial Services
- Alpharetta, GAFirst Command Financial Services is committed to helping military families get their financial lives squared away and pursue their goals and dreams through coaching and guidance...
Financial Advisor
BB&T
- Ponte Vedra Beach, FLEssential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...
Financial Advisor
BB&T Bank
- Atlanta, GAEssential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...
Financial Advisor
Mcadam
- Chicago, ILFinancial Advisor Success for you and your clients Earn the ability to create your own financial success through helping clients enjoy their own You dont need prior finance...
Financial Advisor
Citi
- CaliforniaDescription BUSINESS DESCRIPTION Citi Personal Wealth Management (CPWM) provides clients with professional advice, customized services and access to non-FDIC insured investments...
Financial Advisor
Ninjob | Employment Marketing
- Stevens Point, WIDo these words describe youPassionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The Principal Financial Group® is growing and is looking...
Financial Advisor
Ninjob | Employment Marketing
- Fond Du Lac, WIDo these words describe you…Passionate. Professional. Collaborative. Customer-centric. Community Oriented. Entrepreneurial? The Principal Financial Group® is growing and is...
Financial Advisor
AIG Financial Advisors
- Los Angeles, CAPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
CUNA Mutual Group/cuna Brokerage Services
- Montpelier, VTWork 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.
Financial Advisor
Heritage Federal Credit Union
- Newburgh, INDescription:Heritage Financial Services, Inc., is seeking an uncommon professional to join our team as a Financial Advisor. Heritage Financial Services, Inc., is a wholly owned...
Financial Advisor
BMO Financial Group
- Palatine, ILPremier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...
Financial Sales Management
AXA Advisors
- Brooklyn, NYCompany Description: About AXA AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them define and pursue...
Financial Consultant
AXA Advisors
- Brooklyn, NYCompany Description: About AXA AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them define and pursue...
Financial Consultant ENTRY LEVEL US RESIDENTS ONLY NYC
AXA Advisors
- New York City, NYCompany Description: To qualify, you should have a strong business background and a personal history of success. You should be results-driven, possess unequivocal honesty and...
Financial Professional (Retirement Benefits Group)
Finding the right match can be a challenge - especially when you want more than just material success. If you're a high-achiever looking for an opportunity with the potential of a...
Experienced Financial Advisor
AXA Advisors
- San Mateo, CAAXA Advisors, LLC, a respected leader in the financial services industry, has exciting opportunities for motivated, team-oriented individuals seeking professional satisfaction,...
Financial Advisor (Entry-Level)
AXA Advisors
- San Mateo, CAAXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies, investment services and risk management. We have more...
Compliance Associate
NEWMetLife
- North CarolinaJob Location Charlotte, NC Job Description Summary of Responsibilities: This individual contributor role supports MetLife's U.S. Compliance organization, which is responsible for...
Recruiting Coordinator
NEWMetLife
- MichiganJob Location Novi and Southfield Michigan area Job Description Position Summary: Provide ongoing support to firm management in achieving recruiting objectives. Participate in...
Sr CSR II Annuities Start Date 6 22 2015
MetLife
- Rhode IslandJob Location Warwick Virtual Location No Job Description As a leader in insurance, MetLife never underestimates the significance of the impact made by associates. We are the...
Research & Resolution Rep IV
MetLife
- North CarolinaJob Location Charlotte, NC Experience Required 5+ year of related work experience. (Financial and/or annuities). FINRA series 6 or 7 Required Education Required High School...
Managing Sales Director II
MetLife
- FloridaJob Location Ft. Lauderdale, FL Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team...
Replacement Analyst
MetLife
- FloridaJob Location Tampa, FL Job Description Job Summary: Processes Replacement transactions associated with life New Business applications. Reviews, analyzes, resolves, declines,...
Sr CSR II
MetLife
- OklahomaJob Location Tulsa, OK Job Description Job Summary: Handles customer service inquiries via the telephone and resolves problems. Uses computerized systems for tracking, information...
Managing Sales Director I
MetLife
- FloridaJob Location Ft. Lauderdale, FL Job Description SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team...
Financial Services Representative
MetLife
- VirginiaDescription At MetLife Premier Client Group, we are committed to providing clients with the holistic wealth and risk management solutions they need. Our Financial Services...
Experienced Financial Services Representative
MetLife
- VirginiaDescription Summary of Responsibilities : An Experienced Financial Services Representative (EXP) is an individual or an entity that is entrusted with the task of providing advice...
Lead Broker Dealer Principal
MetLife
- North CarolinaJob Location Charlotte, NC Job Description Functional Responsibilities: Highest level non-managerial individual contributor in this family, widely known for his/her subject matter...
Recruiting Coordinator
MetLife
- TexasJob Location Houston, TX Job Description Provide ongoing support to firm management in achieving recruiting objectives. Participate in activities and events to assist in...
Corporate Counsel Broker Dealer Investment Advisor
MetLife
- North CarolinaJob Location Charlotte, NC Job Description MetLife's Hiring Philosophy: In Legal Affairs, we strive to attract, develop and retain diverse talent with the potential to be future...
Financial Services Team Associate
MetLife
- IndianaDescription 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...
Chase Private Client Investment Associate - Century City
NEWJPMorgan Chase
- Los Angeles, CAChase 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...
Supervision Business Manager - Centralized Supervision - Consumer Banking
NEWJPMorgan Chase
- Columbus, OHThe Centralized Supervision Business Manager is responsible for defining Supervision's operational and technology vision; leading projects to provide clear direction in order to...
Financial Advisor - Chase Wealth Management -Southeast Houston, TX Area
NEWJPMorgan Chase
- League City, TXFinancial 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...
Chase Wealth Management - Financial Consultant
NEWJPMorgan Chase
- Westerville, OHAs 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...
Supervisory Manager - Chase Wealth Management - Houston, Texas Area
NEWJPMorgan Chase
- Houston, TXChase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...
Chase Wealth Management - Market Director - Silicon Valley
NEWJPMorgan Chase
- Cupertino, CAChase 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...
Asset Management GWM Operations Client Reporting Suitability Specialist
NEWJPMorgan Chase
- Newark, DEOur Business J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include institutions,...
CCB Fiduciary Risk - Chase Wealth Management - Executive Director - Columbus, OH or New York, NY
NEWJPMorgan Chase
- Columbus, OHChase is a leader in the financial services industry, providing banking, mortgages, credit cards, loans, payment processing and investment services to 50 million customers - 1 out...
Asset Management GWM Operations Quality Control Associate
NEWJPMorgan Chase
- Newark, DEOur Business J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include institutions,...
In-Store Personal Banker - Pflugerville HEB
JPMorgan Chase
- Pflugerville, TXPlay 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...
In-Store Personal Banker - Parmer HEB
JPMorgan Chase
- Austin, TXPlay a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,500 locations where our...
Anticipated Private Client Advisor - Chase Wealth Management
JPMorgan Chase
- Scottsdale, AZFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Financial Advisor - Chase Wealth Management - Mt Dora
JPMorgan Chase
- Mt. Dora, FLFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Sammamish Plateau
JPMorgan Chase
- Redmond, WAFinancial Advisor Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm...
Anticipated Private Client Advisor - Chase Wealth Management - Denver
JPMorgan Chase
- Fort Collins, COFinancial 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...
GWM - Suitability - Project Manager
JPMorgan Chase
- New York City, NYJ.P. Morgan Global Wealth Management Suitability, Project Manager The Wealth Management division of J.P Morgan Chase & Co is part of the Asset & Wealth Management business...
Washington DC Market Investment Team Lead
JPMorgan Chase
- Washington, DCJ.P. Morgan Private Bank Washington DC Market Investment Team Leader J.P. Morgan is a global leader in asset and wealth management services. We serve four distinct client groups...
Chase Private Client - Private Client Advisor
JPMorgan Chase
- Camarillo, CABusiness Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of...
Anticipated Private Client Advisor - Chase Wealth Management - Prescott Valley
JPMorgan Chase
- Lake Havasu City, AZFinancial 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...
- Private Client Service Specialist-Sales Support - Chase Wealth Management
JPMorgan Chase
- Columbus, OHThe Chase Private Client (CPC) Service Specialist is responsible for delivering a superior service as we assist our advisors with the sales of bank managed products on the private...
New Account Principal I - Chase Wealth Management
JPMorgan Chase
- Columbus, OHMonday - Friday, 10am - 7pm ET, This position is part of the Retail Broker Dealer business. The successful candidate needs to have a strong problem solving ability and be able to...
Global Investment Opportunities Group - Latin America Private Bank - ED
JPMorgan Chase
- New York City, NYGlobal Investment Opportunities Group J.P. Morgan Private Banking, which includes both the Private Bank and Private Wealth Management businesses, offers individuals and families...
Compliance Officer
NEWHanson McClain Advisors
- Sacramento, CASUMMARY OF THE POSITION: The Compliance Officer position is responsible for assisting with ... broker-dealer / investment adviser issues, FINRA, SEC, state securities and insurance...
Compliance Officer
NEWAccolo
- Sacramento, CAworking with investment advisor & broker-dealer compliance issues, including review ... We are a FINRARegistered Broker/Dealer and SEC Registered Investment Advisor providing in...
Chief Compliance Officer
NEWInternational Market Recruiters
- New York City, NYNew York, NY, is seeking a Chief Compliance Officer to provide guidance in product ... Doctor - NY Bar Experience with SEC and FINRA broker/dealer framework - specifically...
Chief Compliance Officer
Jackson National Life Insurance Company
- El Segundo, CAaccount programs. The Chief Compliance Officer (CCO) oversees the compliance ... Officer responsible for maintaining compliance with all FINRA, BSA, and USA Patriot...
Senior Corporate Compliance Officer
NEWEuropean Leader In Global Banking and Financial Services
- San Francisco, CAsecurities, insurance, and trust/fiduciary compliance and knowledge of regulations ... Required Experience 10+ yrs combined Compliance/Audit/Risk Management experience at...
VP Premier Relationship Manager
NEWHSBC
- Rockville, MDCompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...
Compliance Officer
NEWHanson McClain Advisors
- Sacramento, CASUMMARY OF THE POSITION: The Compliance Officer position is responsible for assisting with ... enhancing, developing and implementing compliance policies and procedures; assisting...
Compliance Officer
NEWAccolo
- Sacramento, CASUMMARY OF THE POSITION: The Compliance Officer position is responsible for assisting with ... * Identifies potential areas of compliance vulnerability and risk; develops/implements cor...
AML Analyst
NEWAIG Financial Advisors
- Atlanta, GAdirectly to the AML Compliance Officer. Less than 10% travel is required. ... FINRA manual, FINRA Notices to Members, Compliance notices and other publications...
Securities Licensing Specialist
NEWRBC Financial Group - Finance Industry
- Minneapolis, MNReports To: Registration Manager Department: Compliance Licensing and Registration PURPOSE ... RBC from other firms. • Work with Compliance Officers to amend employee licensing...
AVP Premier Relationship Manager
NEWHSBC - Finance Industry
- Fremont, CACompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Officer, Area ComplianceOfficer or Local Compliance Officer. The term...
FCC Compliance Officer Wholesale
NEWHSBC - Finance Industry
- New York City, NYGBM Compliance Annual Compliance Plan, as articulated in the Compliance FIM. • Strong ... Business ComplianceOfficer, Area Compliance Officer or Local Compliance Officer, ensuring...
In Store Personal Banker Parmer Heb
NEWJPMorgan - Finance Industry
- Austin, TXin this position would be contingent upon compliance with Truth in Lending Act/Dodd ... with JPMorgan Chase is contingent upon compliance with the SAFE Act, including...
In Store Personal Banker Pflugerville Heb
NEWJPMorgan - Finance Industry
- Pflugerville, TXin this position would be contingent upon compliance with Truth in Lending Act/Dodd ... with JPMorgan Chase is contingent upon compliance with the SAFE Act, including...
VP Premier Relationship Manager
NEWHSBC - Finance Industry
- New York City, NYCompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...
Director, Consumer Sector
NEWHSBC - Finance Industry
- New York City, NYcompliance with all relevant internal and external rules, regulations and procedures ... • FINRA Series 79 license may be required Interpersonal/Personal Effectiveness • Collabora...
Sr. Manager Marketing RP Administrator
NEWTiaa - Finance Industry
- Charlotte, NCand procedures to ensure compliance with FINRA guidelines, identifying and resolving ... RPs and MRUcompliance officers • Partners closely with the Compliance Department's...
Investment Services Financial Advisor
NEWHomestreet Bank
- Glendora, CAof Financial Industry Regulatory Authority \(FINRA\), the Federal Deposit Insurance ... veteran status\. In addition, we ensure compliance with federal, state and local laws...
Compliance Officer II-BL
NEWBank of the West
- San Francisco, CA* Liaise with Group and/or Division Compliance and Corporate Compliance ... **Compliance** **Title:** **Compliance Officer II-BL** **Location:**...
GOVERNMENT ANALYST II
NEWState of Florida
- Tallahassee, FLthe examinations process; acting as compliance consultant to the securities ... industry; or acting as a complianceofficer within the securities industry. The...
Director Compliance Audit
NEWLeading Provider of Insurance, Investments, and Retirement Products
- Cedar Rapids, IAthat mitigate key regulatory and compliance risks in accordance with policies ... inform senior management, Enterprise Chief Compliance Officer, head of Business Review...
Chief Compliance Officer
NEWInternational Market Recruiters
- New York City, NYNew York, NY, is seeking a Chief Compliance Officer to provide guidance in product ... regulatory matters with Global Head of Compliance (FACTA, ABC, Research, IB...
Senior Audit and Compliance Testing Officer
NEWNetwork Esc (a Division of Network Temps, Inc.)
- New York City, NYSenior Audit and Compliance Testing Officer Top International Corporate and ... Compliance Monitoring programs to ensure compliance with regulatory requirements...
Wealth Associate Relationship Manager
NEWAmerican Financial Services Holding Company
- Dallas, TXManager is a developmental position for officer level candidates desiring a career in ... clients. 6. Work within the existing audit, compliance, and regulatory framework in order...
Compliance Officer, Investment Consulting
NEWChicago, ILCompany is seeking a Compliance Officer to be responsible for managing all aspects of the ... as a complianceofficer for an SEC-registered RIA • Working knowledge of the...
Senior Corporate Compliance Officer
NEWEuropean Leader In Global Banking and Financial Services
- San Francisco, CAsecurities, insurance, and trust/fiduciary compliance and knowledge of regulations ... Required Experience 10+ yrs combined Compliance/Audit/Risk Management experience at...
Compliance Officer- Branch Audit
NEWEuropean Leader In Global Banking and Financial Services
- Omaha, NEand best practices. 9. Implements compliance program initiatives in Wealth ... Required Experience 3 yrs combined Compliance/Audit/Risk Management experience...
Regional Supervisory Officer
NEWMajor American Financial Services Company
- Louisville, KYREQUIREMENTS: FINRA Series 7 and 66 or (63 & 65) licenses, also FINRA Series 8 or (9 & 10) ... Brokerage industry, to include knowledge of compliance regulations, investment markets,...
Trust Compliance Specialist
NEWHancock Bank
- Gulfport, MSregulations * Work closely with the Chief Compliance Officer (CCO) of Horizon Advisers ... websites, and agreements * Point of compliance contact for the SEC, FINRA, etc. *...
Senior Compliance Officer
NEWCompliance Search Group
- New York City, NYSenior Compliance Officer A Global Advisory firm seeks a Chief Compliance Officer (CCO) ... S/he will support the Corporate CCO on compliance strategic initiatives and all compliance...
Wealth Management Broker-Dealer and Capital Markets Attorney Officer
NEWLeading Global Financial Services Firm
- New York City, NYSecurities organizations, including Compliance and Risk.Morgan Stanley Wealth ... strategies and services; working with Compliance, Risk and the business units to...
Regulatory Controller
NEWLeading Global Financial Services Firm
- New York City, NYDivision reports to the Chief Financial Officer and consists of some 3,000 employees ... responsible for ensuring the firm is in compliance with various broker-dealer regulatory...
Operational Risk Manager- Corporate Equity Solutions
NEWLeading Global Financial Services Firm
- New York City, NYOfficer (BUISO) - partner with CES Risk Officer on all information security matters, ... of duty- Internal Audits and Compliance ExaminationsOversight Responsibilities and...
Business Analyst
NEWHired By Matrix
- Newark, NJ* Demonstrated knowledge of FINRA and SEC licensing and registration requirements, U4/U5 p ... * Prior experience in a Regulatory or Compliance role is highly desirable. Approx.
CCB Fiduciary Risk - Chase Wealth Management - Executive Director - Columbus, OH or New York, NY
NEWJPMorgan Chase
- Columbus, OHforums. The Fiduciary Risk Officer uses leadership skills, teamwork and effective ... all facets of the business (Compliance, Legal, Sales, Operations, Administration) *...
FCC Compliance Officer Wholesale
NEWHSBC
- New York City, NYand review of the GBM Compliance Annual Compliance Plan, as articulated in the Compliance ... ComplianceOfficer, Area Compliance Officer or Local Compliance Officer, ensuring...
AVP Premier Relationship Manager
NEWHSBC
- Fremont, CACompliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...
AML Analyst
NEWAmerican International Group
- Atlanta, GAGeneral Compliance Knowledge - Must have extensive knowledge of FINRA, SEC and ... manual, FINRA Notices to Members, Compliance notices and other publications...
Compliance Associate
NEWTiaa-cref
- Denver, COofficers (b) Anti-Corruption/FCPA Compliance Program Conduct reviews and forensic ... rules and regulations On-going compliance monitoring and testing of the compliance...
Securities Licensing Specialist
NEWRBC
- Minneapolis, MNReports To: Registration Manager Department: Compliance Licensing and Registration PURPOSE ... who join RBC from other firms. Work with Compliance Officers to amend employee licensing...
Compliance Marketing & Sales Review, Officer
NEWHuxley Banking & Financial Services
- Boston, MAbusiness functions and locations. The Compliance Officer will help review and ... materials, therefore good knowledge of FINRA is required. The Officer will work...
Chief Compliance Officer (CCO)
NEWCompliance Search Group
- Hartford, CTChief Compliance Officer (CCO) A Global Advisory firm seeks a Chief Compliance Officer ... maintain and enforce adequate compliance policies and procedures. • Provide compliance...
Premier Relationship Manager
NEWCitizens Financial Group
- Philadelphia, PAManager will be required to maintain compliance with all Citizens Bank policies ... consultant, business banker, loan officer, and retail branch manager Business...
AML Private Wealth Management Risk Concurrence Officer
NEWSunTrust Banks
- Atlanta, GAPrivate Wealth Management Risk Concurrence Officer-W410692 Description Assesses Bank ... The AML/BSA Risk Officer will work closely with partners from the Financial Intelligence U...
AML Consumer Risk Concurrence Analyst
NEWSunTrust Banks
- Atlanta, GAThe AML/BSA Risk Officer will work closely with partners from the Financial Intelligence U ... (BSA, OFAC,FINRA, SEC, State Rules). Travel The position could require periodic...
AML Risk Specialist- Consumer/Private Wealth Management
NEWSunTrust Banks
- Atlanta, GAThe AML/BSA Risk Officer will work closely with partners from the Financial Intelligence U ... (BSA, OFAC,FINRA, SEC, State Rules). Travel The position could require periodic...
Compliance Consultant 4
Wells Fargo
- Charlotte, NCWFS-COMPLIANCE This is a position on the Compliance Controls & Infrastructure (CCI) team ... testing, analysis and management support for Compliance Officers who specialize in...
Compliance Consultant 3
Wells Fargo
- Charlotte, NCWFS-Compliance This Compliance Officer will support the Wells Fargo Securities Compliance ... group partners. More specifically, this Compliance Officer will (1) assist with...
Operations Associate - Spectrum Asset Management
Principal Financial
- Stamford, CTinto the back office operations. -Ensure compliance with established regulatory and ... other characteristic protected by law. PGI Compliance Verbiage: You will be required to...
Head of Investment MGMT Policies & Procedures Compliance
Compliance Search Group
- New York City, NYS/he will lead the compliance unit responsible for the ongoing maintenance of policies and ... the ChiefCompliance Officer's written Compliance Program Reviews (quarterly and...
Operations Manager and Chief Compliance Officer
Navigator Planning Group
- Green Bay, WIGroup Description Operations Manager & Chief Compliance Officer A independent dual ... in long range planningCompliance Officer: - Develop, monitor, and manage the...
Senior Compliance Officer-Trading Products
BMO Harris Bank
- Chicago, ILMandate Senior US Compliance Officer responsible for implementing the U.S Monitoring & ... for development and maintenance of Compliance Monitoring &Testing oversight...
Corporate Compliance-Private Funds Compliance Officer-Vice President
JPMorgan Chase
- New York City, NYPrivate Funds Compliance-Executive Director/Vice President JPMorgan Chase & Co ... to fill a position as a Private Funds Compliance Officer in JPMorgan Asset Management...
Vice President, Associate Counsel (Advisory)
NEWLpl Financial
- Boston, MAincluding senior attorneys, Deputy General Counsel and General Counsel, with the ... affecting the company as RIA and broker-dealer * Implementation of new and changing...
Corporate Counsel Job
NEWBloomberg
- New York City, NYand foreign laws, coordinate with outside counsel, draft product descriptions, draft ... Knowledge of U.S. securities laws, including broker-dealer regulation, desirable The...
Associate Attorney--Investment Management
NEWLsj
- New York City, NYas well as to investment advisers and broker-dealers. -Helping clients launch new ... third-party service provider agreements. -Counsel clients on Compliance rules and...
Counsel - Investment Adviser's Act
NEWLeading Financial Planning and Services Company
- New York City, NYFinancial the largest independent broker-dealer (IBD) in the managed account space. ... our differentiating value proposition. The attorney in this position will provide advice...
Deputy Regional Chief Counsel, Enforcement
NEWFinancial Industry Regulatory Authority
- San Francisco, CAreview meetings held with the Regional Chief Counsel, supervise attorneys and the matters ... disciplinary proceedings; and, serve as co-counsel with attorneys, when necessary, to...
Junior to Mid-level Investment Attorney with corporate experience
NEWWashingtonjunior to mid-level investment management attorney with experience involving securities ... SIFMA Securities Lending Master Agreement, broker-dealer and FCM customer agreements,...
Commercial Litigation Attorney with 3-7 years of dispute experience
NEWNew York City, NYYork City office seeks commercial litigation attorney with 3-7 years of experience. The ... resolution, preferably matters involving broker-dealers, investment advisors, and/or...
AttorneyInvestment Management focused
NEWStaffingforce
- Boston, MAan Investment Management focused Associate Attorney with 4 - 6 years of experience ... funds, private funds, investment advisers, broker dealers, insurance companies and other...
Director, Enforcement Center
Financial Industry Regulatory Authority
- New York, NYduring discussions with outside counsel, in settlement negotiations, and ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Distinguished Director of Lease Management (7784SLH)
Executive Leadership Solutions
- Charlotte, NCconvenience stores, as well as 130 dealer locations in ten states. The Southeast ... will review and interpret lease terms from broker-provided deal spreadsheets and LOI's...
Counsel - Investment Adviser's Act
Leading Financial Planning and Services Company
- Minneapolis, MNFinancial the largest independent broker-dealer (IBD) in the managed account space. ... our differentiating value proposition. The attorney in this position will provide advice...
Vice President, Associate Counsel (Brokerage)
Lpl Financial
- San Diego, CADepartments Corporate group and will support broker-dealer, retirement and new product ... compliance issues affecting the company as a broker-dealer and registered investment...
Managing Director / Deputy General Counsel
New York City, NYbroker-dealers or FCMs, exchanges or clearinghouses. • Strong analytical, ... of broker, dealers, custodian banks and asset managers worldwide. Our Client is able to...
Associate General Counsel (Securities/Regulatory)
Scottrade
- St Louis, MOissues to Scottrade, Inc., a broker-dealer, and Scottrade Investment Management, ... by Scottrade, Inc., the firm'sbroker-dealer, and Scottrade Investment Management,...
VP Corporate Counsel - Prior Experience Required
Complistaff
- Newark, NJAttorney needed to provide counsel on the distribution of individual life and annuity ... and variable annuities;broker dealer counsel including FINRA rules, corporate...
Senior Counsel - Prior Experience Required
Complistaff
- Lake Mary, FLfor substantive role in its Broker Dealer business. The successful candidate ... & regulatory matters for US & non US broker dealer. Negotiate & draft distribution...
Enforcement Counsel
Financial Industry Regulatory Authority
- Rockville, MDFINRA in disciplinary hearings as its staff attorney, including marshaling, organizing ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Senior Counsel Dispute Advisory Group
Citi
- O'fallon, MODescriptionThe Case Attorney position supports all aspects of the retail broker dealer/RIA ... recommends the course of action. The Case Attorney is responsible for preparing the...
Assistant General Counsel Municipal Securities
Citi
- New YorkCiti control functions and outside counsel. The attorney will also be expected ... Experience with municipal finance, broker-dealer regulation and derivatives a...
Assistant General Counsel Dispute Advisory Group Manager
Citi
- O'fallon, MOall aspects of the handling of retail broker-dealer/RIA and insurance agency ... managing regulatory exams of thebroker-dealer and insurance agency, oversee and...
Assistant General Counsel LATAM Wealth Management
Citi
- Miami, FLlegal policies. Advise bankers and local counsel regarding complex cross-border ... Provide primary legal coverage for the broker-dealer; Participate in various Citi...
Corporate Counsel, Investment Related Products
SVB
- Californiabank and its investment advisor and broker-dealer affiliates, including our consumer ... (both commercial and consumer) and broker-dealer delivered products and...
Senior Counsel
SVB
- CaliforniaGroup and Wine Division. The attorney will provide strategic guidance, ... The company also offers funds management, broker-dealer transactions and asset...
Assistant Counsel - Derivatives
Asset Management Firm Providing Multiple Financial Services
- New York City, NYSkills and Position Requirements: Licensed attorney with 4 to 8 years of relevant experience within a top law firm and/or an asset management firm Thorough knowledge of the...