EMPLOYMENT TUESDAY at BrokeAndBroker.com

June 23, 2015

Stockbroker, Compliance, Legal, and Regulatory Jobs

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

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SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    BB&T Bank

     - Norfolk, VA

    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...

    1 hour ago from Professional Diversity Network
     
  • Financial Advisor 

    NEW

    AIG

     - Wichita, KS

    Financial Advisor - South Central Kansas Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for...

    11 hours ago from AIG
     
  • Financial Advisor 

    NEW

    Oregon Employment Department

     - Portland, OR

    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...

    1 day ago from Oregon Employment Department
     
  • Financial Advisor 

    NEW

    First Command Financial Services

     - Lake Buena Vista, FL

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

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

    NEW

    Hancock Bank

     - Florida

    Coordinates with bank business partners in order to have the opportunity meet with bank customers and determine how to meet their investment needs Develops marketing and sales...

    3 days ago from Hancock Bank
     
  • Financial Advisor 

    NEW

    Seacoast National Bank

     - Palm Beach, FL

    Summary: Position will sell financial services solutions to the public by prospecting and soliciting new business, developing existing accounts, and developing relationships with...

    3 days ago from Seacoast National Bank
     
  • Financial Advisor

    Workstaff USA Staffing Agency

     - Warner Robins, GA

    We are seeking an uncommon professional to join our team as a Financial Advisor. We are looking for different. We are looking for the strong in finance. We are looking for...

    4 days ago from Jobvertise
     
  • Financial Advisor

    First Command Financial Services

     - Rosamond, CA

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

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

    AIG Financial Advisors

     - Portland, OR

    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 BrokerHunter.com
     
  • Financial Advisor

    American International Group

     - Livonia, MI

    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

    NASA Federal Credit Union

     - Columbia, MD

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

    5 days ago from NASA Federal Credit Union
     
  • Financial Advisor

    First Mid-illinois Bank & Trust

     - Mattoon, IL

    Financial Advisor First Mid-Illinois Bank & Trust is seeking an experienced Financial Advisor to join its staff of banking professionals. This position will be responsible for...

    5 days ago from FIRST MID-ILLINOIS BANK & TRUST
     
  • Financial Advisor

    CUNA Mutual Group

     - Overland Park, KS

    Job Description: Financial Advisor - Mazuma Credit Union Job. Apply now. Apply now. * Start apply with LinkedIn. * * Apply Now. * Email Start. * Please wait... Apply now. Apply...

    6 days ago from ZipRecruiter
     
  • Financial Advisor

    Mcadam

     - Chicago, IL

    Financial Advisor Success, for you and your clients. Earn the ability to create your own financial success through helping clients enjoy their own. You don't need prior finance...

    6 days ago from StartWire
     
  • Financial Advisor

    Securian Financial Group

     - San Mateo, CA

    Financial Advisor Professionals Serving Professionals in a Thriving Industry True professionals have always sought like-minded individuals to serve their needs. You have an...

    6 days ago from StartWire
     
  • FINANCIAL ADVISOR

    Cornerstone Consulting Group

     - St. Charles, MO

    Job Description We are seeking a local professional to join our team as an additional Financial Advisor. Job Responsibilities: Serve Your Clients: 1. Cultivate strong...

    6 days ago from Cornerstone Consulting Group, LLC
     
  • Financial Advisor

     

    AXA Advisors

     - Williamsville, NY

    Do you have what it takes to make six figures? AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial strategies,...

    6 days ago from AXA Advisors, LLC
  • Financial Advisor Enroller- Maryville/ Sevierville 

    NEW

    American International Group

     - Maryville, TN

    Position Description Picture yourself building a successful career at VALIC, where you are in charge of your financial success! VALIC is a leader in the retirement planning...

    10 hours ago from American International Group
     
  • Entry Level Inside Sales Retirement Specialist - Paid training 

    NEW

    American International Group

     - Houston, TX

    Position Description Why AIG? At AIG, we offer a unique opportunity that will launch your career with opportunities for professional growth and development supported by a powerful...

    10 hours ago from American International Group
     
  • Financial Advisor Enroller-New Orleans/Slidell 

    NEW

    American International Group

     - New Orleans, LA

    Position Description Picture yourself building a successful career at VALIC, where you are in charge of your financial success! VALIC is a leader in the retirement planning...

    3 days ago from American International Group
     
  • Regional Vice President- Western Region 

    NEW

    American International Group

     - San Francisco, CA

    Position Description The Regional Vice President (RVP) for Life Sales is the central resource and relationship manager for their assigned territory. Reporting to the Divisional...

    3 days ago from American International Group
  • Financial Advisor

    American International Group

     - Livonia, MI

    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 - Flint Michigan Oakland County Territory

    American International Group

     - Flint, MI
    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 - Minneapolis/St. Paul

    American International Group

     - Minneapolis, MN

    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 Enroller-Starkville

    American International Group

     - Jackson, MS

    Position Description Picture yourself building a successful career at VALIC, where you are in charge of your financial success! VALIC is a leader in the retirement planning...

    4 days ago from American International Group
  • 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
     
  • Trade Support Specialist 

    NEW

    JPMorgan Chase

     - Newark, DE

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

    7 hours ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Surveillance Manager - Fixed Income and Swaps Trade Surveillance - Vice President - Jersey City 

    NEW

    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...

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

    NEW

    JPMorgan Chase

     - Ridgefield, CT

    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
     
  • CIB - Investor Services-Sales - Vice President 

    NEW

    JPMorgan Chase

     - New York City, NY

    About J.P. Morgan Corporate & Investment Bank J.P. Morgan's Corporate & Investment Bank (CIB) is a global leader across banking, markets and investor services. The world's top...

    3 days ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Financial Advisor Associate - CA - Manhattan Beach (Sepulveda)

    JPMorgan Chase

     - Manhattan Beach, CA

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

    4 days ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Chase Private Client Investment Associate - Houston, Texas (Tanglewood Houston)

    JPMorgan Chase

     - Houston, TX

    Job Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...

    4 days ago from ZipRecruiter
     
  • Asset Management Cash Processing Team Leader / Supervisor

    JPMorgan Chase

     - Newark, DE

    Cash Operations is a team dedicated to servicing all of the client needs from transaction processing through investigations support. Individual is responsible for daily workflow,...

    5 days ago from JPMorgan Chase & Co
  • Associate Financial Consultant - Tyson's Corner, VA(20150619-2237) 

    NEW

    Charles Schwab Corporation

     - Tysons Corner, VA

    Tysons Corner - VA, BRVATY, 1650 Tysons Blvd, 22102-4856 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven...

    17 hours ago from Charles Schwab Corporation
     
  • Licensed Account Solutions Associate(0116-21519) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    Orlando - FL, ORL2, 1958 Summit Park Dr, 32810 Christal Lynn Fortunato We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    17 hours ago from Charles Schwab Corporation
     
  • Client Service Specialist - Seattle, WA(20150619-2240) 

    NEW

    Charles Schwab Corporation

     - Seattle, WA

    Seattle - WA, BRWASE, 508 Union St, 98101-2309 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    17 hours ago from Charles Schwab Corporation
     
  • Account Solutions Operations Team Manager(0427-23217) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    Orlando - FL, ORL2, 1958 Summit Park Dr, 32810 Christal Lynn Fortunato We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    17 hours ago from Charles Schwab Corporation
     
  • Portfolio Consultant - Schwab Private Client, Lone Tree (CS) 

    NEW

    Charles Schwab Corporation

     - Denver, CO

    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 Operations Manager 

    NEW

    Charles Schwab Corporation

     - Bellevue, WA

    Description:Bellevue \- WA, BRWABV, 11100 NE 8th St\., 98004\-4465 Veronica Vecchio **We believe that** , when done right, investing liberates people to create their own destiny\.

    17 hours ago from BrokerHunter.com
     
  • Sr. Specialist Institutional Trading 

    NEW

    Charles Schwab Corporation

     - Englewood, CO

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

    17 hours ago from BrokerHunter.com
     
  • Vice President, Branch Manager 

    NEW

    Charles Schwab Corporation

     - Louisville, KY

    Description:Louisville \- KY, BRKYLO, 295 N\. Hubbards Lane, 40207\-8206 Veronica Vecchio **We believe that** , when done right, investing liberates people to create their own...

    17 hours ago from BrokerHunter.com
     
  • Associate Financial Consultant - Potomoc 

    NEW

    Charles Schwab Corporation

     - Potomac, MD

    Description:Potomac \- MD, BSMDPO, 12500 Park Potomac Ave, 20854\-6903 Veronica Vecchio **We believe that** , when done right, investing liberates people to create their own...

    17 hours ago from BrokerHunter.com
     
  • Managing Director of Learning: Compliance, Regulatory and CPMO 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Description:Lone Tree \- CO, DENR1, 9875 Schwab Way, 80124 Julie Hoelsken **We believe that** , when done right, investing liberates people to create their own destiny\. **We are...

    17 hours ago from BrokerHunter.com
     
  • Associate Financial Consultant - Potomoc, MD(20150617-2231) 

    NEW

    Charles Schwab Corporation

     - Potomac, MD

    Potomac - MD, BSMDPO, 12500 Park Potomac Ave, 20854-6903 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven...

    3 days ago from Charles Schwab Corporation
     
  • Senior Operations Manager - Bellevue, WA(20150616-2218) 

    NEW

    Charles Schwab Corporation

     - Bellevue, WA

    Bellevue - WA, BRWABV, 11100 NE 8th St., 98004-4465 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    3 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - St. Louis-West County, MO(20150617-2232) 

    NEW

    Charles Schwab Corporation

     - St Louis, MO

    Chesterfield - MO, BRMOWT, 17247 Chesterfield Airport Rd., 63005-1423 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny.

    3 days ago from Charles Schwab Corporation
     
  • Charles Schwab Corporation

     - Denver, CO

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

    3 days ago from Charles Schwab Corporation
     
  • Client Service Specialist Ops Manager 

    NEW

    Charles Schwab Corporation

     - Richfield, OH

    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...

    3 days ago from BrokerHunter.com
     
  • Operations Sr. Specialist - Alternative Investments 

    NEW

    Charles Schwab Corporation

     - Englewood, CO

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

    3 days ago from BrokerHunter.com
     
  • Product Manager of Investor Online Services 

    NEW

    Charles Schwab Corporation

     - Denver, CO

    Description:San Francisco \- CA, SF211MN, 211 Main St, 94105\-1905 Nicole Stefanski **We believe that** , when done right, investing liberates people to create their own destiny\.

    3 days ago from BrokerHunter.com
     
  • Relationship Manager, Advisor Services - Chicago Metro Region

    Charles Schwab Corporation

     - Chicago, IL

    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- Oakland, CA (Sourcing Req)

    Charles Schwab Corporation

     - Sunnyvale, CA

    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- Bay Area, CA (Sourcing Req)

    Charles Schwab Corporation

     - Menlo Park, CA

    Description:Oakland \- CA, BRCAOD, 1939 Harrison St, 94612\-3532 Jessica Marie Martinez **We believe that** , when done right, investing liberates people to create their own...

    4 days ago from BrokerHunter.com
     
  • Associate Financial Consultant - Memorial City

    Charles Schwab Corporation

     - Houston, TX

    Description:Houston \- TX, BRTXQ2, 947 Gessner Road, 77024\-2501 Don Carlos Collins **We believe that** , when done right, investing liberates people to create their own destiny\.

    4 days ago from BrokerHunter.com
     
  • Team Manager, Participant Investor Concierge - Austin, TX

    Charles Schwab Corporation

     - Richfield, OH

    Description:Austin \- TX, AUSTINB, 12401 Research Blvd, 78759 Jessica Marie Martinez **We believe that** , when done right, investing liberates people to create their own...

    4 days ago from BrokerHunter.com
     
  • Vice President, Branch Manager - Louisville, KY(20150615-2197)

    Charles Schwab Corporation

     - Louisville, KY

    Louisville - KY, BRKYLO, 295 N. Hubbards Lane, 40207-8206 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven...

    4 days ago from Charles Schwab Corporation
  • Field Auditor - NRS - Minneapolis - Homebased 

    NEW

    Elsevier

     - Minneapolis, MN

    and services to Investment Advisors, Broker\-Dealers, Hedge\-Funds, Banks and ... for branch and home office locations for Broker\-Dealers and mock regulatory audits...

    1 hour ago from Women's Career Channel
     
  • Branch Manager - Aventura 

    NEW

    Ameriprise

     - North Miami Beach, FL

    *FINRA Series 7, 24, 63/66, 65/66 and 9/10 required ... principal registrations to supervise broker dealeroperations, training, and...

    7 hours ago from Ameriprise
     
  • VP Premier Relationship Manager 

    NEW

    HSBC

     - Fort Lee, NJ

    Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance ... Global ComplianceOfficer, Area Compliance Officer or Local Compliance Officer. The...

    8 hours ago from HSBC
     
  • Lead Developer in Test - Rockville, MD - Contractor Conversion 

    NEW

    Financial Industry Regulatory Authority (finra)

     - Potomac, MD

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

    9 hours ago from Just Jobs
     
  • Compliance Consultant- MOIS Securities Compliance 

    NEW

    Mutual of Omaha Bank

     - Omaha, NE

    compliance surveillance activities for the broker dealer including the detection of ... compliance risks. Directs and leads broker dealer/compliance initiatives and...

    10 hours ago from Mutual of Omaha Bank
     
  • Public Offerings Analyst, Corporate Financing 

    NEW

    Financial Industry Regulatory Authority

     - Rockville, MD

    arrangements for compliance with FINRA/NASD and SEC rules and federal ... with the employee) and to authorize their broker-dealers to provide FINRA with...

    11 hours ago from Professional Diversity Network
     
  • Associate General Counsel/Compliance Officer 

    NEW

    Pyramid Consulting

     - Roseland, NJ

    regulations that apply to a registered broker-dealer, as such rules and laws relate ... dealer with specific experience supporting broker-dealer compliance. Prior experience as...

    11 hours ago from Dice
     
  • Regional Vice President- Western Region 

    NEW

    AIG Financial Advisors

     - Phoenix, AZ

    prioritize business plans through Broker Dealer accounts in order to achieve highest ... conference calls in the assigned Broker Dealer accounts including: Merrill Lynch, TIME...

    17 hours ago from BrokerHunter.com
     
  • Counsel - Investment Adviser's Act 

    NEW

    Leading Financial Planning and Services Company

     - Minneapolis, MN

    making Financial the largest independent broker-dealer (IBD) in the managed account ... industry practices; - Collaborating with Compliance personnel on relevant compliance...

    22 hours ago from IvyExec
     
  • Vice President ?? Investment Performance Reporting, Asset & Wealth Management (AWM) 

    NEW

    Leading Financial Planning and Services Company

     - Minneapolis, MN

    needs of the broker-dealer (end client (novice to sophisticated investor), advisor, ... within a broker-dealerorganization Bachelor's degree in Mathematics, Finance,...

    22 hours ago from IvyExec
     
  • Compliance Senior Specialist - AMG Institutional Advisory 

    NEW

    Major American Financial Services Company

     - Cleveland, OH

    of responsibility. You will assist in FINRA and Third-party broker-dealer audits. ... Requires 6 to 8 years of experience/knowledge of compliance regulations and compliance mon...

    22 hours ago from IvyExec
     
  • Regional Vice President - Western Region 

    NEW

    Accomplished International Insurance and Financial Services Organization

     - Phoenix, AZ

    business plans through Broker Dealer accounts in order to achieve highest return ... calls in the assigned BrokerDealer accounts including: Merrill Lynch, TIME...

    22 hours ago from IvyExec
     
  • Retirement Plan Client Relationship Director 

    NEW

    Diversified Insurance Services Firm

     - Detroit, MI

    as needed, regarding compliance with broker dealer policies. This position may be located ... in Financial Services industry FINRA Series 6, 26, 63 and other licenses and...

    1 day ago from IvyExec
     
  • Senior Corporate Compliance Officer 

    NEW

    European Leader In Global Banking and Financial Services

     - San Francisco, CA

    securities, insurance, and trust/fiduciary compliance and knowledge of regulations ... Management experience at a retail broker dealer or registered investment adviser,...

    1 day ago from IvyExec
     
  • Wealth Management Broker-Dealer and Capital Markets Attorney Officer 

    NEW

    Leading Global Financial Services Firm

     - New York City, NY

    by a FINRA and SEC licensed broker-dealer that is also a registered investment ... Morgan Stanley Wealth Management's Broker Dealer functions and its Capital Markets...

    1 day ago from IvyExec
     
  • Municipal Securities Compliance Officer 

    NEW

    Leading Global Financial Services Firm

     - New York City, NY

    Primary Responsibilities Provide Compliance support for Public Finance ... of broker-dealer regulatorycompliance including MSRB, FINRA, and SEC...

    1 day ago from IvyExec
     
  • Regulatory Inquiries Group - Vice President 

    NEW

    Leading Global Financial Services Firm

     - New York City, NY

    internal counsel, operation personnel, compliance coverage, etc. as required, to ... organization such as the NYSE,FINRA, AMEX, SEC or similar broker/dealer regulatory...

    1 day ago from IvyExec
     
  • Internal Audit Broker Dealer Compliance Team Leader 

    NEW

    Leading Global Financial Services Firm

     - New York City, NY

    development, planning and/or performing of Broker-Dealer and Core Compliance audits ... the following: Development of Broker Dealer/Core Compliance Audit Risk Assessment...

    1 day ago from IvyExec
     
  • Sales Practice Supervisor 

    NEW

    Concorde Investment Services

     - Troy, MI

    securities broker dealer registered with FINRA to solicit securities products in all ... (RRs) in the areas of insurance, broker-dealer transactions as well as...

    1 day ago from JOBS Employment Board
     
  • Octon - Senior Developer - VP 

    NEW

    Barclays

     - Whippany, NJ

    and duties are carried out in full compliance with regulatory requirements, Barclays ... Broker / Dealer, and how they relate to ◦Submissions to the SEC and FED Familiarity...

    1 day ago from Barclays
     
  • Senior Associate, Broker-Dealer and Investment Advisory Compliance 

    NEW

    New York Life Insurance Co

     - New York City, NY

    Senior Associate, Broker-Dealer and Investment Advisory Compliance Job Overview: The ... for providingcompliance support and guidance to our broker-dealer and registered...

    1 day ago from New York Life Insurance Co
     
  • Regulatory Review and Reporting, Senior Associate (16981) 

    NEW

    New York Life Insurance Co

     - New York City, NY

    Department: Corporate Compliance - Regulatory Reporting / Complaints Review Role ... Qualifications: PriorBroker Dealer experience, preferably in compliance or operations,...

    1 day ago from New York Life Insurance Co
     
  • Senior Branch Office Examiner 

    NEW

    AIG

     - Phoenix, GA

    Requirements 5 + years experience in Compliance or Branch Exams. * FINRA series 7, ... FINRA manual, FINRANotices to Members, Compliance notices and other publications...

    1 day ago from InsuranceJobs.com
     
  • FSI Compliance Professional 

    NEW

    Manpowergroup

     - Pittsburgh, PA

    This would include the banking letter regulations, AML/BSA, FINRAbroker-dealer, Dodd-Fra ... certifications include: Certified Regulatory Compliance Manager, Certified Anti-Money...

    1 day ago from ManpowerGroup
     
  • Compliance Consultant 5 VP Direct 

    NEW

    Wells Fargo

     - Charlotte, NC

    WFS Compliance The Credit Sales and Trading Compliance Consultant is responsible for ... with an institutionalbroker-dealer * 5 years of fixed income compliance or...

    1 day ago from Wells Fargo
  • Financial Operations Examiner - Market Regulation, Trading & Financial ComplianceExaminations 

    NEW

    Financial Industry Regulatory Authority

     - Chicago, IL

    FINRA employees are required to disclose to FINRA all brokerage accounts that they ... with the employee) and to authorize their broker-dealers to provide FINRA with...

    2 days ago from Professional Diversity Network
     
  • Senior Security Engineer 

    NEW

    Financial Industry Regulatory Authority

     - Rockville, MD

    FINRA employees are required to disclose to FINRA all brokerage accounts that they ... with the employee) and to authorize their broker-dealers to provide FINRA with...

    2 days ago from Women's Career Channel
     
  • Senior Compliance Officer- Manager Volcker Compliance/ Regulatory Reporting & Governance

    NEW

    Citigroup - Finance Industry

     - New York City, NY

    Citi's Volcker Compliance Program ("Compliance Program). Specific responsibilities ... Compliance Program. Represent Compliance and support Compliance involvement in...

    2 days ago from VelvetJobs
     
  • Senior Compliance Officer Manager Volcker Compliance Regulatory Reporting Governance 

    NEW

    Citi

     - New York

    responsibilities under Citis Volcker Compliance Program (Compliance Program). ... Citi Volcker ComplianceProgram. Represent Compliance and support Compliance involvement...

    2 days ago from Citi
     
  • License Specialist 

    NEW

    Kansas City Life Insurance

     - Kansas City, MO

    Services, Kansas City Life's wholly-owned broker/dealer subsidiary.* *Securities ... 3520 Broadway Kansas City, MO 64111 Phone: 816-753-7000 (Home Office) Member FINRA / SIPC...

    2 days ago from StartWire
     
  • Supervisory Principal 

    NEW

    Asian American Lawyers Association of Massachusetts (aalam)

     - Cincinnati, OH

    broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    3 days ago from The Asian American Lawyers Association...
     
  • Now Hiring Stay at Home Moms! 

    NEW

    Thoroughbred Advisors

     - Latham, NY

    products and services available through our Broker Dealer and Registered Investment ... (ESI), MemberFINRA/SIPC, 15 Fisher Lane, White Plains, NY 10603 914.428.4000...

    3 days ago from Thoroughbred Advisors
     
  • Senior Compliance Advisor 

    NEW

    Fidelity Investments

     - Boston, MA

    by the Securities and Exchange Commission, FINRA, other Self-Regulatory Organizations ... in securities andbroker dealer industry, compliance/legal or regulatory organization...

    3 days ago from Fidelity Investments
     
  • Financial Advisor- Leon County 

    NEW

    Capital City Bank Group

     - Tallahassee, FL

    Vehicle Guidelines. In compliance with the S.A.F.E. Act, registration in the NMLS ... Broker/Dealer, memberFINRA and SIPC. This position requires the associate to...

    3 days ago from CAPITAL CITY BANK GROUP
     
  • Head of Compliance 

    NEW

    Proshares

     - Bethesda, MD

    overall compliance program for the broker dealer and entities registered with the ... of FINRA and NFA rules as they relate to compliance. Experience working with SEC, FINRA...

    3 days ago from Webscribble
     
  • Sales Service Coordinator 

    NEW

    Jackson National Life Insurance Company

     - Nashville, TN

    annuities) to independent and regional broker-dealers, independent agents and financial ... Marketing, Product Management, Legal, Compliance, Illustrations, and other partners to...

    3 days ago from Jackson National Life Insurance Company
     
  • Director, Enforcement Center - Rockville 

    NEW

    Financial Industry Regulatory Authority (finra)

     - Potomac, MD

    the employee) and to authorize their broker-dealers to provide FINRA with duplicate ... on nepotism. AboutFINRA FINRA is an independent, non-governmental regulator for all...

    3 days ago from Just Jobs
     
  • Compliance Associate - Employee Monitoring 

    NEW

    RBC

     - Jersey City, NJ

    . PURPOSE: Administer employee compliance with Firm policy, SEC and FINRA rules and ... Bachelors Degree Prior broker-dealer experience Preferred: Excellent computer skills...

    3 days ago from RBC
     
  • Manager, Cash Reconciliation 

    NEW

    Lpl Financial

     - San Diego, CA

    of controls and in ensuring organizational compliance with internal controls over ... member Experience in public accounting and broker/dealers strongly preferred BA/BS degree...

    3 days ago from LPL Financial
     
  • Supervisory Principal 

    NEW

    Lpl Financial

     - Cincinnati, OH

    broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    3 days ago from LPL Financial
     
  • Regional Vice President- Western Region 

    NEW

    American International Group

     - San Francisco, CA

    business plans through Broker Dealer accounts in order to achieve highest return ... calls in the assigned BrokerDealer accounts including: Merrill Lynch, TIME...

    3 days ago from American International Group
     
  • FSI Compliance Professional 

    NEW

    Experis

     - Pittsburgh, PA

    This would include the banking letter regulations, AML/BSA, FINRAbroker-dealer, Dodd-Fra ... certifications include: Certified Regulatory Compliance Manager, Certified Anti-Money...

    3 days ago from Experis
     
  • New Accounts Specialist 

    NEW

    Edelman Financial Services

     - Richmond, VA

    2 years equivalent industry experience in compliance related position dealing ... industry experience specifically in a broker/dealer or registered investment...

    3 days ago from Glassdoor
     
  • Compliance Officer I 

    NEW

    Tiaa Cref

     - Denver, CO

    information, analyzing records, writing compliance reports and providing verbal ... required Experience with full array of broker-dealer trading activities including...

    3 days ago from Tiaa Cref
     
  • Senior Branch Office Examiner 

    NEW

    AIG Financial Advisors

     - Atlanta, GA

    5 + years experience in Compliance or Branch Exams.  FINRA series 7, 24 and 65/66 ... to Members, Compliancenotices and other publications concerning broker/dealer...

    3 days ago from BrokerHunter.com
     
  • Associate Director, Talent Acquisition & Mobility - Rockville, MD or 

    NEW

    Finra

     - New York City, NY

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

    3 days ago from Fosters Daily Democrat
     
  • Alternative Net Capital (ANC) Examiner - Member Regulation, ROOR 

    NEW

    Financial Industry Regulatory Authority

     - New York, NY

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

    3 days ago from A Mighty River
     
  • Compliance Officer - Markets/Equity Derivatives (Vice President) 

    NEW

    Top Tier Financial Services Company

     - New York City, NY

    of a sophisticated full service broker/dealer oriented toward Institutional clients. ... trading. Assist in the preparation of Compliance reports for Compliance Management,...

    3 days ago from IvyExec
     
  • SENIOR ANALYST, POLICIES & PROCEDURES

    Stifel Nicolaus

     - St Louis, MO

    policies and procedures for multiple broker-dealer affiliates. Main focus for this ... General understanding of SEC and FINRA rules/regulations, industry practice and how they a...

    4 days ago from Stifel Nicolaus
     
  • Executive Director, IFDI Compliance

    Waddell and Reed

     - Overland Park, KS

    the firm's distributor broker-dealer. Manage IFDI Surveillance Analyst. Provide ... Distributor broker-dealercompliance or supervisory experience required...

    4 days ago from Waddell and Reed
  • Compliance Surveillance Analyst

    Waddell and Reed

     - Overland Park, KS

    principals, concerning compliance issues and compliance policies and procedures. Provide ... preferred. Familiarity with broker-dealer compliance, Pershing NetX360 and SunGard...

    4 days ago from Waddell and Reed
     
  • Compliance Analyst - Advisor Review

    Asian American Lawyers Association of Massachusetts (aalam)

     - Remote, OR

    broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    4 days ago from The Asian American Lawyers Association...
     
  • Senior Analyst - Integration, Reporting, and Quality Management

    Asian American Lawyers Association of Massachusetts (aalam)

     - Charlotte, NC

    broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    4 days ago from The Asian American Lawyers Association...
     
  • Analyst, AML Operations

    Asian American Lawyers Association of Massachusetts (aalam)

     - Charlotte, NC

    broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    4 days ago from The Asian American Lawyers Association...
     
  • Manager, Cash Reconciliation

    Asian American Lawyers Association of Massachusetts (aalam)

     - San Diego, CA

    of controls and in ensuring organizational compliance with internal controls over ... member Experience in public accounting and broker/dealers strongly preferred BA/BS degree...

    4 days ago from The Asian American Lawyers Association...
     
  • Vice President - Investment Performance Reporting, Advice & Wealth Management (AWM)

    Ameriprise Financial

     - Minneapolis, MN

    performance reporting within a broker-dealer organization Bachelor's degree in ... the broker-dealer (end client (novice to sophisticated investor), advisor, field...

    4 days ago from Ameriprise Financial, Inc.
     
  • Counsel (105195-1)

    TD Ameritrade

     - Jersey City, NJ

    corporate and commercial law, and broker dealer regulations * Experience ... member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...

    4 days ago from TD Ameritrade
     
  • Counsel (105195)

    TD Ameritrade

     - Omaha, NE

    corporate and commercial law, and broker dealer regulations * Experience ... member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...

    4 days ago from TD Ameritrade
     
  • Hearing Officer, Office of Hearing Officers

    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...

    4 days ago from Just Jobs
     
  • Associate Director, Quantitative Analytics

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    broker-dealers by conducting interviews of compliance professionals and ... their broker-dealers to provideFINRA with duplicate statements for all of those...

    4 days ago from Just Jobs
     
  • Compliance Analyst - Advisor Review

    Lpl Financial

     - Remote, OR

    broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    4 days ago from LPL Financial
     
  • Senior Analyst - Integration, Reporting, and Quality Management

    Lpl Financial

     - Charlotte, NC

    broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    4 days ago from LPL Financial
     
  • Analyst, AML Operations

    Lpl Financial

     - Charlotte, NC

    broker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    4 days ago from LPL Financial
     
  • Senior Branch Office Examiner

    AIG

     - Atlanta, GA

    5 + years experience in Compliance or Branch Exams. * FINRA ... FINRA manual, FINRA Notices to Members,Compliance notices and other publications...

    4 days ago from AIG
     
  • Senior Compliance Analyst

    American International Group

     - Atlanta, GA

    Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other ... publications concerningbroker/dealer regulation. Strong communication,...

    4 days ago from American International Group
     
  • Sr Compliance Analyst

    American International Group

     - Phoenix, AZ

    Assist in the monitoring of Company compliance with state/federal law and rules and regu ... experience with abroker/dealer or similar, in the compliance or legal field in...

    4 days ago from American International Group
     
  • Surveillance Analyst

    American International Group

     - Atlanta, GA

    Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other ... publications concerningbroker/dealer regulation. Effective communication skills,...

    4 days ago from American International Group
     
  • Regulatory Coordinator - Member Regulation, Sales Practice

    Financial Industry Regulatory Authority

     - New York, NY

    FINRA employees are required to disclose to FINRA all brokerage accounts that they ... with the employee) and to authorize their broker-dealers to provide FINRA with...

    4 days ago from A Mighty River
     
  • Broker-Dealer Regulatory Reporting Lead Analyst

    KP Recruiting Group

     - Buffalo, NY

    of customer funds held by the broker-dealer. Currently this department is seeking ... dealer regulatory capacity. Background in broker dealer audit and examinations is highly...

    4 days ago from KP Recruiting Group
     
  • Private Banking Wealth Management Lawyer

    Multinational Financial Services Holding Company

     - New York City, NY

    and work closely with the Chief Compliance Officer and Compliance Department for ... the Attorney will advise on various broker-dealer related matters for trading desks and...

    4 days ago from IvyExec
     
  • Sales Supervisor

    Guggenheim Investments

     - New York City, NY

    successful candidate will have prior Broker Dealer Equity and Fixed Income supervisory ... a supervisory orcompliance role of a broker-dealer. An understanding of broker-dealer...

    4 days ago from ZipRecruiter
     
  • Compliance Officer

    Tiaa-cref

     - New York City, NY

    information, analyzing records, writing compliance reports and providing verbal ... * Experience with full array ofbroker-dealer trading activities including variable...

    4 days ago from ZipRecruiter
     
  • Marketing Associate

    BlackRock

     - San Francisco, CA

    compliance groups to help ensure regulatory compliance of marketing and sales collateral, ... Skills/Requirements: BS/BA 1+ years of communications review for a broker-dealer, mutual f...

    4 days ago from ZipRecruiter
     
  • Sales Supervisor

    Guggenheim Partners

     - New York City, NY

    successful candidate will have prior Broker Dealer Equity and Fixed Income supervisory ... a supervisory orcompliance role of a broker-dealer. An understanding of broker-dealer...

    4 days ago from ZipRecruiter
     
  • Compliance Officer

    Hanson McClain Advisors

     - Sacramento, CA

    working with investment advisor & broker-dealer compliance issues, including review ... We are a FINRARegistered Broker/Dealer and SEC Registered Investment Advisor providing in...

    4 days ago from Hanson McClain Advisors
  • Counsel - Investment Adviser's Act 

    NEW

    Leading Financial Planning and Services Company

     - Minneapolis, MN

    Financial the largest independent broker-dealer (IBD) in the managed account space. ... reports; - Working with regulators, outside counsel and independent experts from time to...

    22 hours ago from IvyExec
     
  • Attorney Jobs-JDHUNTR-15127 Chief Risk Officer, Risk Management 

    NEW

    In-house Counsel Jobs - Jdhuntr

     - Houston, TX

    regulatory compliance, with focus on broker-dealer and registered investment adviser ... jobs, lawyer jobs, attorney jobs, general counsel jobs, JDHUNTR, litigation, corporate...

    3 days ago from BullhornReach.com
     
  • Director, Enforcement Center - Rockville 

    NEW

    Financial Industry Regulatory Authority (finra)

     - Potomac, MD

    during discussions with outside counsel, in settlement negotiations, and ... the employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...

    3 days ago from Just Jobs
     
  • Assoc General Counsel 

    NEW

    Tiaa Cref

     - Charlotte, NC

    to the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). Provide legal...

    3 days ago from Tiaa Cref
     
  • JUNIOR TO MID LEVEL INVESTMENT MANAGEMENT ASSOCIATE NEEDED! 

    NEW

    Parker + Lynch

     - Washington, DC

    as partnering with colleagues abroad to counsel on foreign regulations that impact U.S. ... adviser registration and regulation, broker-dealer regulatory issues and the CFTC's...

    3 days ago from Parker + Lynch
     
  • Counsel (105195-1)

    TD Ameritrade

     - Jersey City, NJ

    Outside Counsel and other TD Ameritrade counsel in defending larger lawsuits and ... corporate and commercial law, and broker dealer regulations * Experience...

    4 days ago from TD Ameritrade
     
  • Counsel (105195)

    TD Ameritrade

     - Omaha, NE

    Outside Counsel and other TD Ameritrade counsel in defending larger lawsuits and ... corporate and commercial law, and broker dealer regulations * Experience...

    4 days ago from TD Ameritrade
     
  • Centralized Compliance Q/C Testing Specialist

    M&T Bank

     - Buffalo, NY

    can include: Fiduciary, Broker Dealer, Insurance, Investment Advisor, or ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business unit...

    4 days ago from M&T Bank
     
  • Private Banking Wealth Management Lawyer

    Multinational Financial Services Holding Company

     - New York City, NY

    will be responsible for providing legal counsel and advice to the business on the ... the Attorney will advise on various broker-dealer related matters for trading desks and...

    4 days ago from IvyExec
     
  • Centralized Compliance Q/C Testing Specialist

    M&T Bank

     - Buffalo, NY

    can include: Fiduciary, Broker Dealer, Insurance, Investment Advisor, or ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business unit...

    4 days ago from CareerRookie.com
     
  • Municipal Securities/Capital Markets Attorney

    UBS

     - Weehawken, NJ

    securities/capital markets lawyer to counsel the municipal retail sales, ... writing skills * experience working withbroker-dealer compliance departments and have...

    5 days ago from UBS
     
  • Director, Enforcement Center

    Finra

     - Rockville, MD

    during discussions with outside counsel, in settlement negotiations, and ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...

    5 days ago from Disabled Persons
     
  • Counsel - Market Regulation, Legal

    Finra

     - Rockville, MD

    Counsel, Litigation, or Assistant Chief Counsel, Quality of Markets to the Market ... employee) and to authorize their broker-dealers to provide FINRA with duplicate...

    5 days ago from Disabled Persons
     
  • Assistant General Counsel - Municipal Securities

    Michael Page International - US

     - Manhattan, NY

    Experience with municipal finance, broker-dealer regulation and derivatives a plus. Knowledge of Dodd-Frank regulations, such as the Volcker Rule, Credit Risk Retention Rules,...

    5 days ago from eFinancial Careers
     
  • Investment Trade Review Compliance Officer

    American Financial Services Holding Company

     - Charlotte, NC

    Securities Principal approving new accounts, broker dealer changes, and IC recommendations. c. Issue Suspense Reports for missing information on the Client Profile and/or...

    5 days ago from IvyExec
     
  • Centralized Compliance Q/C Testing Specialist - D1D

    Manufacturers and Traders Trust Company

     - Buffalo, NY

    activities can include: Fiduciary, Broker Dealer, Insurance, Investment Advisor, or ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business...

    6 days ago from ZipRecruiter
     
  • Contract Corporate Compliance Attorney

    Special Counsel

     - New York City, NY

    prepare and file investment adviser and broker-dealer applications with the ... You may submit your resume below or on our Special Counsel website at www.specialcounsel.c...

    6 days ago from StartWire
     
  • Managing Counsel

    Global Automotive Industry Leader

     - Plano, TX

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

    6 days ago from IvyExec
     
  • Securities & Insurance Distribution Counsel, Assistant General Counsel (13241)

    New York Life Insurance Co

     - New York City, NY

    & Insurance Assistant Counsel: A Fortune 100 life insurer with retail brokerage and ... familiarity withbroker/dealer and registered investment adviser issues.

    6 days ago from New York Life Insurance Co
     
  • Assistant General Counsel - Municipal Securities (00983113)

    Michael Page International - US

     - Manhattan, NY

    Assistant General Counsel - Municipal Securities * Salary: Negotiable * Location: ... * Experience with municipal finance, broker-dealer regulation and derivatives a...

    6 days ago from eFinancialCareers Ltd
     
  • Assistant General Counsel - Municipal Securities (00983230)

    Michael Page International - US

     - Manhattan, NY

    Assistant General Counsel - Municipal Securities * Salary: Negotiable * Location: ... * Experience with municipal finance, broker-dealer regulation and derivatives a...

    6 days ago from eFinancialCareers Ltd
     
  • Sr Counsel

    ING Financial Services

     - New York, NY

    5-year basis2 * Atop-tierindependent broker-dealer network in the U.S.3 * ... are the job responsibilities? The Senior Counsel, M&A and Corporate Transactions will...

    6 days ago from Women's Career Channel