EMPLOYMENT TUESDAY at BrokeAndBroker.com Blog

June 16, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    American International Group

     - Phoenix, AZ

    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.

    10 hours ago from American International Group
     
  • Financial Advisor 

    NEW

    Bank Mutual

     - Eau Claire, WI

    Job Description: Financial Advisor (Eau Claire) Job Code: 3125. Location: Eau Claire Corporate 300. ZIP/Postal code: 54701. Department: BancMutual Financial and Insurance.

    1 day ago from ZipRecruiter
     
  • Financial Advisor 

    NEW

    CORESTAFF Services

     - Englewood, CO

    Job Overview Job Order: JO000024716 Date Posted: Jun 12 Salary: $22.00/Hour Industry: Metro Area: Englewood, CO Start Date: May 18 Investment Advisor Representative A division of...

    1 day ago from CORESTAFF Services
     
  • 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'...

    2 days ago from Women's Career Channel
     
  • Financial Advisor 

    NEW

    Thrivent Financial

     - Columbia, SC

    Company Description:Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities by...

    3 days ago from JOBS Employment Board
     
  • Financial Advisor 

    NEW

    Massmutual Financial Group

     - Boardman, OH

    Job Description Sales professionals: take your practice to the next level Not all financial services companies are the same. Product offerings, producer support, ongoing training...

    3 days ago from StartWire
     
  • Financial Advisor 

    NEW

    Thoroughbred Advisors

     - Albany, NY

    Job Description Position Description: Financial Advisor Our appropriately licensed Financial Advisors work with Clients to provide exceptional service, while introducing the full...

    3 days ago from Thoroughbred Advisors
     
  • Financial Advisor

    BB&T

     - Miami, FL

    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 Services Representative 

    NEW

    Hibrid Staffing

     - Atlanta, GA

    Company Description:HIBRID, a leader in workforce solutions, is committed to the clients we serve and the candidates we place. We improve quality performance and reduce risk. We...

    1 day ago from JOBS Employment Board
     
  • Financial Services Representative 

    NEW

    Youth Villages

     - Memphis, TN

    Job Description At MetLife Premier Client Group, we are committed to providing clients with the holistic wealth and risk management solutions they need. Our Financial Services...

    3 days ago from StartWire
  • Financial Representative 

    NEW

    Thrivent Financial

     - Hickory, NC

    Company Description:Thrivent Financial isn't your typical Fortune 500 organization. We're a faith-based membership organization committed to strengthening Christian communities by...

    3 days ago from JOBS Employment Board
     
  • Financial Representative 

    NEW

    Massmutual Financial Group

     - Burlington, VT

    Job Description As a recent college graduate, youve already proven that youre self-motivated and goal-oriented. If youre interested in a career that rewards hard work and provides...

    3 days ago from StartWire
     
  • Financial Representative

    National Financial Network

     - New York, NY

    Company Description:Our Financial Representatives have a direct connection between their daily work and its ultimate benefit. Becoming a Financial Representative is more than a...

    4 days ago from JOBS Employment Board
  • Vice President, Financial Consultant - San Jose, CA(20150610-2146) 

    NEW

    Charles Schwab Corporation

     - San Jose, CA

    Milpitas - CA, BRCASJ, 12 Ranch Drive, 95035-5103 Jessica Marie Martinez We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    9 hours ago from Charles Schwab Corporation
     
  • International Operations Account Solutions Representative(0615-24015) 

    NEW

    Charles Schwab Corporation

     - Phoenix, AZ

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    9 hours ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Folsom, CA(20150603-2030) 

    NEW

    Charles Schwab Corporation

     - Folsom, CA

    We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to champion every client's goals with passion and integrity.

    13 hours ago from Charles Schwab Corporation
     
  • Brokerage Service Specialist - Advisor Custody & Trading(0219-22060) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Lone Tree - CO, DENR2, 9825 Schwab Way, 80124 Leslie Rachelle Nichols We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    13 hours ago from Charles Schwab Corporation
     
  • Business Development Officer, Core - Advisor Services 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    Description: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every client's goals with...

    17 hours ago from BrokerHunter.com
     
  • Senior Client Service Specialist 

    NEW

    Charles Schwab Corporation

     - Portland, OR

    Description:Portland \- OR, BRORPL, 222 SW Columbia St\., 97201\-6601 Veronica Vecchio **We believe that** , when done right, investing liberates people to create their own...

    17 hours ago from BrokerHunter.com
     
  • Sr. Manager - Retail Compliance Risk Testing 

    NEW

    Charles Schwab Corporation

     - Austin, TX

    Description:Phoenix \- AZ, PHXPEAK, 2423 E Lincoln Dr, 85016\-1215 Jody Ann Neiman **We believe that** , when done right, investing liberates people to create their own destiny\.

    17 hours ago from BrokerHunter.com
     
  • Vice President, Financial Consultant 

    NEW

    Charles Schwab Corporation

     - Tampa, FL

    Job Description: Description:Tampa \- FL, BRFLTB, 4830 W\. Kennedy Blvd, 33609\-2522. Christine S\. Lane. **We believe that** , when done right, investing liberates people to...

    3 days ago from ZipRecruiter
     
  • Associate Financial Consultant 

    NEW

    Charles Schwab Corporation

     - Cincinnati, OH

    Job Description: Description:Cincinnati \- OH, BROHCN, 4000 Smith Road, 45209\-1966. Michelle Lynn Huber. **We believe that** , when done right, investing liberates people to...

    3 days ago from ZipRecruiter
     
  • Sr. Manager - Retail Compliance Risk Testing 

    NEW

    Charles Schwab Corporation

     - Chicago, IL

    Job Description: Description:Phoenix \- AZ, PHXPEAK, 2423 E Lincoln Dr, 85016\-1215. Jody Ann Neiman. **We believe that** , when done right, investing liberates people to create...

    3 days ago from ZipRecruiter
     
  • Sr. Manager - Fixed Income Product Management 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Description:Lone Tree \- CO, DENR2, 9825 Schwab Way, 80124 Curtis A Crawford **We believe that** , when done right, investing liberates people to create their own destiny\. **We...

    3 days ago from BrokerHunter.com
     
  • Regional Director - Institutional Sales 

    NEW

    Charles Schwab Corporation

     - Chicago, IL

    Description:Chicago \- IL, BRILLP, 150 S Wacker Dr, 60606\-4111 Axle J Marcoline **We believe that** , when done right, investing liberates people to create their own destiny\.

    3 days ago from BrokerHunter.com
     
  • Senior Sepcialist - Investment Consulting 

    NEW

    Charles Schwab Corporation

     - Richfield, OH

    Description:Richfield \- OH, OHRICH, 4150 Kinross Lakes Pkwy, 44286 Maria Victoria Powers **We believe that** , when done right, investing liberates people to create their own...

    3 days ago from BrokerHunter.com
     
  • Director - DCIO 

    NEW

    Charles Schwab Corporation

     - Denver, CO

    Description:Lone Tree \- CO, DENR2, 9825 Schwab Way, 80124 Axle J Marcoline **We believe that** , when done right, investing liberates people to create their own destiny\. **We...

    3 days ago from BrokerHunter.com
     
  • Managing Director of Learning: Advisor Services, Retirement Plan Services and Institutional Services 

    NEW

    Charles Schwab Corporation

     - Austin, TX

    Description:Austin \- TX, AUSTINA, 12401 Research Blvd, 78759 Julie Hoelsken **We believe that** , when done right, investing liberates people to create their own destiny\. **We...

    3 days ago from BrokerHunter.com
     
  • Vice President, Financial Consultant - Tampa, FL(20150603-2033)

    Charles Schwab Corporation

     - Tampa, FL

    Tampa - FL, BRFLTB, 4830 W. Kennedy Blvd, 33609-2522 Christine S. Lane We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    4 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Rochester, NY(20150609-2127)

    Charles Schwab Corporation

     - Rochester, NY

    Pittsford - NY, BRNYRC, 1250 Pittsford Victor Rd Bldg 200, 14534 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny. We...

    4 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Cincinnati, OH(20150605-2075)

    Charles Schwab Corporation

     - Cincinnati, OH

    Cincinnati - OH, BROHCN, 4000 Smith Road, 45209-1966 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    4 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Barrington, IL(20150610-2145)

    Charles Schwab Corporation

     - Barrington, IL

    Barrington - IL, BRILBY, 100 W Main Street, 60010-3010 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny. We are driven...

    4 days ago from Charles Schwab Corporation
  • Senior Client Service Specialist - Portland, OR(20150610-2143)

    Charles Schwab Corporation

     - Portland, OR

    Portland - OR, BRORPL, 222 SW Columbia St., 97201-6601 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    4 days ago from Charles Schwab Corporation
     
  • Client Service Specialist - Manchester, NH(20150605-2086)

    Charles Schwab Corporation

     - Manchester, NH

    Manchester - NH, BRNHMR, 2 Wall St, 03101-1518 Christine S. Lane We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    4 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Anchorage, AK

    Charles Schwab Corporation

     - Bend, OR

    Description: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every client's goals with...

    4 days ago from BrokerHunter.com
     
  • Associate Financial Consultant - Eugene & Bend

    Charles Schwab Corporation

     - Eugene, OR

    Description: **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven** by our purpose to champion every client's goals with...

    4 days ago from BrokerHunter.com
     
  • Trading Specialist

    Charles Schwab Corporation

     - Buffalo, NY

    Description:Indianapolis \- IN, INDYC, 8332 Woodfield Crossing Blvd, 46240\-2482 Michelle Shea **This position is located in the Schwab office at 8332 Woodfield Crossing Blvd\. in...

    4 days ago from BrokerHunter.com
  • Asset Management Private Bank Latin America Private Bank UHNW Investment Specialist Southern Cone 

    NEW

    JPMorgan Chase

     - Miami, FL

    JPMorgan Private Banking Investor Job Description Primary Function As part of our team of specialists, the Investor is responsible for helping the Banker win new clients and...

    7 hours ago from JPMorgan Chase & Co
     
  • Global Investment Opportunities Group - Latin America Private Bank - Brazil - VP 

    NEW

    JPMorgan Chase

     - New York City, NY

    Global Investment Opportunities Group J.P. Morgan Private Banking, which includes both the Private Bank and Private Wealth Management businesses, offers individuals and families...

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

    NEW

    JPMorgan Chase

     - Santa Cruz, CA

    [if gte mso 9]><xml> <o:OfficeDocumentSettings> <o:AllowPNG/> </o:OfficeDocumentSettings> </xml><![endif] Financial Advisor Business Description: Chase is the U.S. consumer and...

    1 day ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Surveillance Analyst Reg Reporting - Associate/Vice President 

    NEW

    JPMorgan Chase

     - Jersey City, NJ

    JPMorgan Chase & Co . (NYSE: JPM) is a leading global financial services firm with assets of %242.6 trillion and operations worldwide. The firm is a leader in investment banking,...

    2 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management - Central Valley 

    NEW

    JPMorgan Chase

     - Modesto, CA

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

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

    NEW

    JPMorgan Chase

     - Bakersfield, CA

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

    2 days ago from JPMorgan Chase & Co
     
  • Asset Management - J.P. Morgan Private Bank - Investment Specialist - Vice President/Executive Director 

    NEW

    JPMorgan Chase

     - Dallas, TX

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

    2 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Registration Advisory - Analyst 

    NEW

    JPMorgan Chase

     - Columbus, OH

    [if gte mso 9]><xml> <w:WordDocument> <w:View>Normal</w:View> <w:Zoom>0</w:Zoom> <w:TrackMoves/> <w:TrackFormatting/> <w:PunctuationKerning/> <w:ValidateAgainstSchemas/>...

    2 days ago from JPMorgan Chase & Co
     
  • Financial Advisor - Chase Wealth Management - Jersey City, NJ - Bilingual Spanish Speaking Required

    JPMorgan Chase

     - Jersey City, NJ

    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
     
  • Financial Advisor - Chase Wealth Management

    JPMorgan Chase

     - Upper Montclair, NJ

    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
     
  • Anticipated Private Client Advisor

    JPMorgan Chase

     - Boynton Beach, FL

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

    4 days ago from JPMorgan Chase & Co
     
  • AM - Retirement Consultant

    JPMorgan Chase

     - Westerville, OH

    {PS..9} J.P. Morgan Asset Management Retirement Consultant J.P. Morgan is a global leader in asset and wealth management services. The Asset Management line of business serves...

    4 days ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate (Investment Assistant)

    JPMorgan Chase

     - Plantation, 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...

    4 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Sunnyside, NY (Queens Blvd & 46th Street)

    JPMorgan Chase

     - Sunnyside, 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...

    4 days ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Speedway and Pantano Frys - Tucson, AZ - Bilingual Spanish Preferred

    JPMorgan Chase

     - Tucson, AZ

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

    4 days ago from JPMorgan Chase & Co
     
  • AM - Client Solutions Analyst

    JPMorgan Chase

     - Westerville, OH

    JP Morgan Chase & Co. is a leading global financial services firm with assets of %241.6 trillion and operations in more than 60 countries. The firm is a leader in investment...

    6 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...

    6 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor

    JPMorgan Chase

     - Commack, 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...

    6 days ago from JPMorgan Chase & Co
     
  • Financial Advisor - Chase Wealth Management - Delancey Street, NYC

    JPMorgan Chase

     - New York City, NY

    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...

    6 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Edmond, OK (Edmond Rd & Sante Fe)

    JPMorgan Chase

     - Edmond, OK

    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...

    6 days ago from JPMorgan Chase & Co
  • VP Premier Relationship Manager 

    NEW

    HSBC - Finance Industry

     - New York City, NY

    Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...

    7 hours ago from VelvetJobs
     
  • VP Premier Relationship Manager 

    NEW

    HSBC

     - Brooklyn, NY

    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
     
  • Sr Compliance Analyst 

    NEW

    American International Group

     - Phoenix, AZ

    the BD Chief Compliance Officer, Deputy CCO, Legal, Field Supervision, and internal ... experience with abroker/dealer or similar, in the compliance or legal field in...

    10 hours ago from American International Group
     
  • Broker Dealer Compliance Manager 

    NEW

    SunTrust Banks

     - Atlanta, GA

    Compliance for STRH, Inc, will be the Chief Compliance Officer for the Broker Dealer ... broker dealer business and ensures the Broker Dealer adheres to all relevant laws and...

    10 hours ago from SunTrust Banks
     
  • Brokerage Policy & Procedure Compliance Officer 

    NEW

    SunTrust Banks

     - Atlanta, GA

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

    10 hours ago from SunTrust Banks
     
  • Corporate Compliance - Registration Advisory - Analyst 

    NEW

    JPMorgan - Finance Industry

     - Columbus, OH

    and Chase Private Client. The Sr. Compliance Officer will be responsible for advisory ... functions of the registered broker-dealer. This individual will provide primary...

    1 day ago from VelvetJobs
     
  • VP Premier Relationship Manager 

    NEW

    HSBC - Finance Industry

     - Rowland Heights, CA

    Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring ... Compliance Officer, AreaCompliance Officer or Local Compliance Officer. The term...

    1 day ago from VelvetJobs
     
  • Corporate Compliance - Registration Advisory - Analyst 

    NEW

    JPMorgan Chase

     - Columbus, OH

    and Chase Private Client. The Sr. Compliance Officer will be responsible for advisory ... functions of the registered broker-dealer. This individual will provide primary...

    2 days ago from JPMorgan Chase & Co
     
  • Compliance Officer- Fixed Income (Credit Markets) 

    NEW

    Major International Bank

     - New York City, NY

    The position is for a Fixed Income Compliance Officer within Institutional Client Group ... regulatory rules/regulations touching on broker-dealer activities (E.g., Reg. W, Reg.

    2 days ago from IvyExec
     
  • Chief Compliance Officer - Broker/Dealer - Start-up 

    NEW

    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...

    2 days ago from Selby Jennings
     
  • Compliance Officer - Branch Inspections & Controls 

    NEW

    Michael Page International - US

     - Jersey City, NJ

    Your background may be from another bank/broker dealer or from a regulator ... Job Offer Base + Bonus + Benefits Compliance Officer position at a large banking...

    2 days ago from eFinancial Careers
     
  • Compliance Officer - Branch Inspections & Controls (00981616) 

    NEW

    Michael Page International - US

     - Jersey City, NJ

    Compliance Officer - Branch Inspections & Controls * Salary: Negotiable * Location: Jersey ... Your background may be from another bank/broker dealer or from a regulator...

    2 days ago from eFinancialCareers Ltd
     
  • Vice President, Anti-Money Laundering and Sanctions Officer, National Financial Services 

    NEW

    Fidelity Investments

     - Jersey City, NJ

    line") to NFS' Chief Compliance Officer, who has overall compliance responsibility ... roles supporting a broker-dealer business as the candidate's most recent experience...

    3 days ago from Fidelity Investments
     
  • Vice President, Anti-Money Laundering and Sanctions Officer, Fidelity Brokerage Services 

    NEW

    Fidelity Investments

     - Smithfield, RI

    in compliance roles supporting a broker-dealer business as the candidate's most recent ... broker-dealers and money services businesses (e.g., FINRA Rules 3120 and 3130, FINRA...

    3 days ago from Fidelity Investments
     
  • Surveillance Analyst 

    NEW

    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;...

    3 days ago from StartWire
     
  • Compliance Associate - Prior Experience Required 

    NEW

    Jemstone Associates

     - New York City, NY

    to the firm's Chief Compliance Officer. Responsibilities include but are not ... compliance with various FINRAregulation related to its affiliated broker/dealer.

    3 days ago from Jemstone Associates, Inc.
     
  • Executive Assistant at Financial Foundations

    Insight Performance

     - Palm Beach, FL

    requirements and comply with all FINRA/SEC/Commonwealth compliance regulations; ... Financial Foundations values its relationship with 10-time "Broker/Dealer of the Year" rec...

    4 days ago from Insight Performance
  • Compliance Manager,Vice President

    State Street

     - Boston, MA

    Institutional Broker/Dealer and Futures Commission Merchant is seeking an experienced comp ... required policies and assist the Chief Compliance Officer with the coordination of...

    5 days ago from Jofdav
     
  • Investment Trade Review Compliance Officer

    BB&T

     - Charlotte, NC

    Securities Principal approving new accounts, broker dealer changes, and IC ... - Financial Industry Regulatory Authority (FINRA) General Securities Principal License...

    5 days ago from BB&T Corp
     
  • Director, Compliance - Advertising Review

    Ameriprise

     - Minneapolis, MN

    a team of Compliance Officers performing compliance/advertising review of marketing ... compliance/advertising review for Broker/Dealer and/or Registered Investment Adviser...

    5 days ago from Ameriprise
     
  • AVP Regulatory Compliance

    Forum Group

     - New York City, NY

    FINRA Supervision, Security-Based Swap dealer registration Coordinating the efforts and ... This individual will be a Compliance Officer in the Regulatory Compliance - Americas...

    5 days ago from eFinancial Careers
     
  • Regulatory Compliance Officer - Associate/AVP

    Deutsche Bank - US

     - New York City, NY

    FINRA Supervision, Security-Based Swap dealer registration Coordinating the efforts and ... Dodd Frank, MaRisk, a junior Compliance Officer is needed to primarily assist Compliance...

    5 days ago from eFinancial Careers
     
  • AVP Regulatory Compliance (00979883)

    Forum Group

     - New York City, NY

    be a Compliance Officer in the Regulatory Compliance - Americas Group in Compliance. ... regulatory / exchange rulemaking - e.g., FINRA Supervision, Security-Based Swap dealer...

    6 days ago from eFinancialCareers Ltd

Associate Attorney--Investment Management 

NEW

Slj

 - New York City, NY

as well as to investment advisers and broker-dealers. -Helping clients launch new ... -Counsel clients on Compliance rules and regulations of SEC, FINRA and other regulatory ag...

2 days ago from ZipRecruiter
  • Chief Counsel - Enforcement 

    NEW

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    FINRA, and must move securities accounts from other securities firms to a firm that ... securities firms; writing rules; enforcing those rules and the federal securities...

    2 days ago from Just Jobs
     
  • Attorney - Mergers and Acquisitions (M&A) 

    NEW

    Diedre Moire

     - New York City, NY

    proposals with insurance brokers and outside counsel. *** Perform analysis of financial ... Divestitures EquityFunds Tax Auditor Lawyer Law Attorney Certified Public Attorney...

    3 days ago from Diedre Moire
  • AVP Counsel 

    NEW

    Major Life Insurance Company

     - Newport Beach, CA

    advisor regulation, (v) broker dealer regulation, (vi) real estate, (vii) ... complex problems. Operates undergeneral direction from law department management. ...

    1 day ago from IvyExec
     
  • Assistant General Counsel- Municipal Securities 

    NEW

    Major International Bank

     - New York City, NY

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

    2 days ago from IvyExec