EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog

May 12, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    BMO

     - Kokomo, IN

    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'...

    1 hour ago from Professional Diversity Network
     
  • Financial Advisor 

    NEW

    Wat Tu Do

     - San Jose, CA

    FINANCIAL REPRESENTATIVE/ADVISOR: Financial Representative/Advisor: Northwestern Mutual's Financial Representatives develop enduring relationships with clients by providing expert...

    14 hours ago from Wattudu & Co
     
  • Financial Advisor 

    NEW

    AIG

     - Columbia, SC

    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.

    15 hours ago from Internship.com
     
  • Financial Advisor 

    NEW

    Kendal Capital Insurance

     - Hilton Head, SC

    Insurance and Wealth Management firm seeking individuals looking for a career in the financial services industry. The position consists of a 90 day, 20 hour a week internship.

    16 hours ago from Internship.com
     
  • Financial Advisor 

    NEW

    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...

    2 days ago from A Mighty River
     
  • Financial Advisor 

    NEW

    Bank of the West Wealth Management

     - Livermore, CA

    Come GROW your career at Bank of the West and BancWest Investment Services. We are a friendly, collaborative, relationship-driven culture that is client service and team oriented...

    3 days ago from BrokerHunter.com
     
  • Financial Advisor 

    NEW

    AIG Financial Advisors

     - Fairbanks, AK

    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.

    3 days ago from BrokerHunter.com
     
  • Financial Advisor

    Rehmann

     - Naples, FL

    Rehmann Financial, a member of Rehmann, is a wealth management firm offering integrated advice in all areas of our clients' financial lives. Because most life goals have a...

    4 days ago from Glassdoor
     
  • Financial Advisor

    American International Group

     - Fairbanks, AK

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

    4 days ago from American International Group
     
  • Financial Advisor

    Barrow, AK

    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 None
     
  • Financial Advisor

    Municipal Credit Union

     - New York, NY

    We are seeking an uncommon professional to join our team as a Financial Advisor in the Manhattan Borough. Job Responsibilities: Serve Your Clients: 1. Cultivate strong...

    5 days ago from Municipal Credit Union
     
  • Financial Advisor

    BB&T

     - Charlotte, NC

    Essential 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...

    6 days ago from BB&T Corp
     
  • Financial Advisor

    BMO

     - 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'...

    7 days ago from IHispano
     
  • Financial Advisor

    BB&T

     - Richmond, VA

    Auto req ID 33541BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Richmond, VA - 901 East Byrd Street Language Fluency English...

    8 days ago from BB&T
     
  • Financial Advisor

    Investors Bank

     - Morganville, NJ

    ## Job Description POSTION OBJECTIVES * Provide sound financial advice to customers by evaluating their financial condition, needs and future goals. * Must keep abreast of...

    9 days ago from Investors Bank
     
  • 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...

    10 days ago from Peoples Bancorp Inc.
     
  • Financial Advisor

    Brightstar Credit Union

     - Fort Lauderdale, FL

    Gateway Services Group (BrightStar Credit Union) BrightStar Credit Union is partnering with Gateway Services Group to select a Financial Advisor that will work with our members.

    10 days ago from Jobing.com
  • ENTRY LEVEL - Financial Consultant 

    NEW

    AXA Advisors

     - New York City, NY

    Company DescriptionIf you want to unlock your potential as a financial sales rep, apply to join our team at AXA Advisors! AXA Advisors, LLC is one of the most respected and...

    1 hour ago from AllCountyJobs.com
     
  • Financial Consultant 

    NEW

    AXA Advisors

     - Brooklyn, NY

    Company 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...

    1 hour ago from AllCountyJobs.com
     
  • Financial Consultant 

    NEW

    AXA Advisors

     - New York

    Company Description:AXA Advisors, LLC is a leading provider of financial services for consumers and businesses, working with clients to help them define and pursue their financial...

    1 day ago from JOBS Employment Board
     
  • Financial Professional (Retirement Benefits Group)

     

    AXA Advisors

     - Woodbury, NY

    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...

    4 days ago from AXA Advisors, LLC
     
  • ES Director of Strategic Relationship Liaison (403b/457)

    AXA Advisors

     - Tennessee

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

    8 days ago from AXA Advisors
     
  • Lead Associate - Debt Management

    AXA Advisors

     - Syracuse, NY

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

    9 days ago from AXA Advisors
     
  • Senior Associate, Customer Service

    AXA Advisors

     - New Jersey

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

    9 days ago from AXA Advisors
     
  • Regional Managing Controls Officer

    AXA Advisors

     - New Jersey

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

    9 days ago from AXA Advisors
     
  • Investment Product Sales Specialist

    AXA Advisors

     - New Jersey

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

    9 days ago from AXA Advisors
     
  • Branch Controls (Compliance) Specialist

    AXA Advisors

     - California

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

    9 days ago from AXA Advisors
     
  • Financial Professional

    AXA Advisors

     - Birmingham, AL

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

    9 days ago from AXA Advisors
  • Corporate Compliance - AML Surveillance - Vice President - 

    NEW

    JPMorgan Chase

     - Jersey City, NJ

    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...

    7 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,...

    7 hours ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management - Northwest 

    NEW

    JPMorgan Chase

     - Schererville, IN

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate - Brooklyn, NY (Boro Park) 

    NEW

    JPMorgan Chase

     - Brooklyn, 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...

    7 hours ago from JPMorgan Chase & Co
     
  • Global Fixed Income Cash Middle Office - Trade Support Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

    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...

    7 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...

    7 hours ago from JPMorgan Chase & Co
     
  • Private Client Advisor - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Yonkers, NY

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

    7 hours ago from JPMorgan Chase & Co
     
  • Private Client Advisor - Chase Private Client - New Orleans Area 

    NEW

    JPMorgan Chase

     - New Orleans, LA

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - International Financial Services - Financial Consultant 

    NEW

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Financial Advisor - Chase Wealth Management -Dallas, Texas Area 

    NEW

    JPMorgan Chase

     - Dallas, 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...

    7 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate - Sidney, OH (Sidney Main) 

    NEW

    JPMorgan Chase

     - Sidney, OH

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

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

    NEW

    JPMorgan Chase

     - Venice, FL

    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...

    7 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate - Rochester Hills, MI (Walton Adams) 

    NEW

    JPMorgan Chase

     - Rochester Hills, MI

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

    7 hours ago from JPMorgan Chase & Co
     
  • Investment Support Associate - Broker Service Center - FINRA Series 7 Required 

    NEW

    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 devoted...

    3 days ago from JPMorgan Chase & Co
     
  • Legal- AGC - Chase Wealth Management-ED-NY 

    NEW

    JPMorgan Chase

     - Chicago, IL

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

    3 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Prescott Valley 

    NEW

    JPMorgan Chase

     - Phoenix, AZ

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

    3 days ago from JPMorgan Chase & Co
     
  • Private Client Service Specialist-Sales Support - Chase Wealth Management

    JPMorgan Chase

     - Columbus, OH

    The 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...

    4 days ago from JPMorgan Chase & Co
     
  • Investment Support Associate - Broker Service Center

    JPMorgan Chase

     - Chicago, IL

    Chase Investment Services The Chase Investment Service Centers have a strong reputation of superb customer service. We are a disciplined group devoted to customer service and...

    4 days ago from JPMorgan Chase & Co
     
  • Asset Management - Private Bank EHNW Group - Investment Specialist - Vice President

    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 & Co
     
  • Chase Private Client - Private Client Advisor - Las Colinas

    JPMorgan Chase

     - Irving, 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
     
  • CCB Risk - Chase Wealth Mgmt Fiduciary Risk Executive Director

    JPMorgan Chase

     - New York City, NY

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

    4 days ago from JPMorgan Chase & Co
     
  • Asset Management - Private Bank Investment Team Leader

    JPMorgan Chase

     - Washington, DC

    J.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...

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Chase Wealth Management - Financial Advisor - Lakeland, FL (Near Orlando and Tampa)

    JPMorgan Chase

     - Lakeland, FL

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

    4 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Compliance Manager - Fixed Income Trade Surveillance - Vice President - Jersey City

    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 Private Client - Private Client Advisor

    JPMorgan Chase

     - New York City, NY

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

    5 days ago from JPMorgan Chase & Co
  • Managing Sales Director II

    MetLife

     - Arizona

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

    4 days ago from MetLife
     
  • Assistant Operations Manager

    MetLife

     - California

    Job Location Los Angeles, CA Job Description Provides administrative support to an insurance and financial services sales agency. Functional Responsibilities: Responsible for the...

    5 days ago from MetLife
  • Chief Compliance Officer

    LaSalle Investment Management

     - Chicago, IL

    advisory businesses and other affiliated broker-dealers operating in the Americas. The ... agreements with investment advisory and broker-dealer clients Provide legal review of...

    4 days ago from Professional Diversity Network
     
  • Chief Compliance Officer

    Boutique Investment Management Firm

     - Chicago, IL

    advisory businesses and other affiliated broker-dealers operating in the Americas. The ... investment advisory andbroker-dealer clients · Provide legal review of and negotiate...

    7 days ago from IvyExec
  • Chief Compliance Officer

    LaSalle Investment Management

     - Chicago, IL

    business in the Americas, compliance officer of LaSalle Investment Management's ... agreements with investment advisory and broker-dealer clients Provide legal review of...

    4 days ago from Professional Diversity Network
     
  • Chief Compliance Officer

    Boutique Investment Management Firm

     - Chicago, IL

    To serve as Chief Compliance Officer of Investment Management's direct real estate ... advisory business in the Americas, compliance officer of Investment Management's...

    7 days ago from IvyExec
     
  • VP Premier Relationship Manager 

    NEW

    HSBC

     - Fremont, CA

    Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Global Compliance Officer, Area Compliance Officer or Local Compliance Officer. The...

    8 hours ago from HSBC
     
  • Compliance Officer 

    NEW

    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...

    10 hours ago from Accolo
     
  • Director of Legal 

    NEW

    Artivest

     - New York City, NY

    Pool Operator, and a registered Broker-Dealer. In addition to general corporate ... of feeder fund vehicles Review third party manager/fund legal documentation and...

    10 hours ago from Artivest
     
  • Institutional Sales Assistant - Term Employment 

    NEW

    Union Bank

     - Los Angeles, CA

    trades with the UBIS Trading broker dealer (BD) counterparties. Produce the Called Bond ... to MRM Manage fails, rejects and broker-dealer trade discrepancies Daily print out...

    10 hours ago from Union Bank
     
  • Chief Compliance Officer - Broker/Dealer - CCO 

    NEW
    New York City, NY

    I was just released a role with a Broker/Dealer that is looking to bring on a Chief Compli ... be responsible for aFINRA registered Broker Dealer as well as an SEC registered...

    11 hours ago from IvyExec
     
  • Operational Risk Specialist - Global Markets Securities America (GMSA): NYC 

    NEW

    Bank of America

     - New York City, NY

    Operations Risk, Hedge Fund Broker Dealer or Prime Brokerage team * Ability to ... Reserve rules related tobroker dealer operations * FINRA Series 99 or other...

    14 hours ago from Bank of America
     
  • Wealth Management Compliance Officer 

    NEW

    BOK Financial

     - Wichita, KS

    Compliance Officer The Wealth Management Compliance Officer supports overall Wealth ... ManagementCompliance Officer, like all Compliance Department personnel, follows...

    1 day ago from Disabled Persons
     
  • Wealth Management Compliance Officer Bank Job 

    NEW

    BOK Financial

     - Tulsa, OK

    Compliance Officer The Wealth Management Compliance Officer supports overall Wealth ... ManagementCompliance Officer, like all Compliance Department personnel, follows...

    2 days ago from BOK Financial
     
  • Lead Business Analyst 

    NEW

    Tiaa-cref | Financial Services®

     - Charlotte, NC

    monitor the business units' performance with compliance, alert management to compliance ... ideally related to investment advisory, FINRA and broker-dealer compliance Desired...

    3 days ago from BrokerHunter.com
     
  • AML Analyst 

    NEW

    AIG Financial Advisors

     - Atlanta, GA

    directly to the AML Compliance Officer. Less than 10% travel is required. ... Compliance notices and other publications concerning broker/dealer regulation, and...

    3 days ago from BrokerHunter.com
     
  • Branch Office Examiner 

    NEW

    AIG Financial Advisors

     - Phoenix, AZ

    department and reports directly to the Compliance Manager. The individual in this ... to Members, Compliancenotices and other publications concerning broker/dealer...

    3 days ago from BrokerHunter.com
     
  • Head of Funds Management Group Risk 

    NEW

    Wells Fargo

     - San Francisco, CA

    regulators, particularly with the SEC and FINRA Staff Compliance experience in hedge ... with experience in application to investment management and broker dealer...

    3 days ago from BrokerHunter.com
     
  • Chief Compliance Officer - Broker/Dealer - CCO 

    NEW

    Selby Jennings Qrf

     - New York City, NY

    I was just released a role with a Broker/Dealer that is looking to bring on a Chief Compli ... be responsible for aFINRA registered Broker Dealer as well as an SEC registered...

    3 days ago from eFinancial Careers
     
  • Vice President, Compliance 

    NEW

    Situs

     - Houston, TX

    government and regulatory compliance, with focus on broker-dealer and ... Compliance Officer required • MS Office Suite including Outlook, Excel, Power Point and...

    3 days ago from eFinancial Careers
     
  • WMA Equities Compliance Officer 

    NEW

    Private Wealth & Asset Management Firm

     - Weehawken, NJ

    Equities Compliance Officer you will support compliance for all legal entities in Wealth ... Requirements - 2-5 years experience in broker dealer compliance with a strong...

    3 days ago from IvyExec
     
  • Vice President, Compliance (00964137)

    Situs

     - Houston, TX

    government and regulatory compliance, with focus on broker-dealer and ... Compliance Officer required • MS Office Suite including Outlook, Excel, Power Point and...

    4 days ago from eFinancialCareers Ltd
     
  • Surveillance Analyst

    First Investors

     - Edison, NJ

    Corporation ("FIC"), a FINRA member broker dealer and its affiliated retail ... preferably with a FINRA memberbroker dealer or SEC registered investment adviser;...

    4 days ago from StartWire
     
  • Surveillance Analyst

    First Investors

     - Edison, NJ

    Corporation ("FIC"), a FINRA member broker dealer and its affiliated retail ... preferably with a FINRA memberbroker dealer or SEC registered investment adviser;...

    4 days ago from First Investors
     
  • Financial Operations Principal - Forex Division

    TradeStation

     - Plantation, FL

    Operations. The position will oversee compliance with all financial regulatory ... member (FDM) or retail foreign exchange dealer (RFED) concepts, practices and procedures...

    4 days ago from TradeStation
     
  • Chief Compliance Officer - Broker/Dealer - CCO

    Selby Jennings

     - New York City, NY

    I was just released a role with a Broker/Dealer that is looking to bring on a Chief Compli ... be responsible for aFINRA registered Broker Dealer as well as an SEC registered...

    4 days ago from Selby Jennings
     
  • COMPLIANCE OFFICER I, II, III

    BBVA Compass

     - Birmingham, AL

    to securities, investments and broker-dealer activities pertaining to risk ... tracking. **Specific Responsibilities** **Compliance Reviews:** * Ensures reviews are...

    4 days ago from IHispano
     
  • Chief Compliance Officer

    LaSalle Investment Management

     - Chicago, IL

    business in the Americas, compliance officer of LaSalle Investment Management's ... agreements with investment advisory and broker-dealer clients Provide legal review of...

    4 days ago from Professional Diversity Network
     
  • COMPLIANCE OFFICER II - III (Testing -Volker Rule)

    BBVA Compass

     - Birmingham, AL

    to securities, investments and broker-dealer activities pertaining to risk ... institutional investment activities; for acompliance officer III five or more years of...

    4 days ago from Professional Diversity Network
     
  • Intelligence Compliance Officer

    Leading Provider of Insurance, Investments, and Retirement Products

     - Saint Petersburg, FL

    Procedures in accordance with FINRA Rule 3130. Assist RIA Compliance in ... working for a broker/dealer compliance and/or legal department Financial...

    4 days ago from IvyExec
     
  • Hearing Officer, Office of the Hearing Officer

    Financial Industry Regulatory Authority (finra)

     - Washington, DC

    panelists on issues of law and procedure, compliance with FINRA Sanction Guidelines, ... the employee) and to authorize their broker-dealers to provide FINRA with duplicate...

    5 days ago from Just Jobs
  • Counsel - Investment Adviser's Act 

    NEW

    Leading Financial Planning and Services Company

     - New York City, NY

    Minnesota or eligible for admission as house counsel. Preferred Qualifications ... Participation/experience on industry committees (such as SIFMA, NASAA, FINRA or...

    1 hour ago from AllCountyJobs.com
     
  • Senior Enforcement Counsel 

    NEW

    Intercontinental Exchange

     - New York, NY

    to end; Coordinating with FINRA to transition enforcement responsibilities back to NYSE ... Senior EnforcementCounsel will have responsibility for investigating,...

    7 hours ago from Intercontinental Exchange, Inc.
     
  • Scottrade

     - St Louis, MO

    has an Associate General Counsel (Securities/Regulatory) position available in St ... Industry Regulatory Authority (FINRA) rules. ERISA experience is preferred.

    3 days ago from BrokerHunter.com
     
  • Legal- AGC - Chase Wealth Management-ED-NY 

    NEW

    JPMorgan Chase

     - Chicago, IL

    Act, state insurance laws and FINRA regulations. Specific experience with fee-based discretionary programs, including unified managed accounts, is preferable. Confidence and...

    3 days ago from JPMorgan Chase & Co
     
  • Counsel - Investment Adviser's Act 

    NEW

    Leading Financial Planning and Services Company

     - Minneapolis, MN

    Minnesota or eligible for admission as house counsel. Preferred Qualifications ... industry committees (such as SIFMA, NASAA, FINRA or others); Financial Services,...

    3 days ago from IvyExec
     
  • Senior Counsel, Equity Capital Markets & M&A 

    NEW

    Michael Page International - US

     - Manhattan, NY

    It also involves managing outside counsel, and where necessary, coordinating ... compliance professionals. Profile The Senior Counsel, Equity Capital Markets & M&A...

    3 days ago from eFinancial Careers
     
  • Mid-level Corporate Attorney with joint ventures experience

    BCG Attorney Search

     - Orlando, FL

    of the Financial Industry Authority (FINRA). Existing book of business would be a plus. Must be a member of the Florida Bar. "This medium-sized firm with headquarters in Orlando...

    4 days ago from BCG Attorney Search
  • In-House Counsel Jobs-Jdhuntr-14532 Counsel, Investment

    Other

     - El Segundo, CA

    In-House Counsel Jobs-Jdhuntr-14532 Counsel, Investment, El Segundo, CA The successful ... jobs, lawyer jobs, attorney jobs, general counsel jobs, JDHUNTR, litigation, corporate...

    4 days ago from Job Spider
     
  • Deputy Regional Chief Counsel, Enforcement

    Financial Industry Regulatory Authority

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