EMPLOYMENT TUESDAY at BrokeAndBroker.com

June 30, 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.
 

Click POST A JOB and your position will be promptly listed.  
Only $50 for 30 days!

SALES and SUPPORT JOBS
  • Financial Advisor 

    NEW

    American International Group

     - Milwaukee, WI

    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

    New York Life Insurance

     - San Mateo, CA

    Company Description:New York Life Insurance Company ("New York Life") is the largest mutual life insurance company in the United States*. Founded in 1845, New York Life is...

    1 day ago from JOBS Employment Board
     
  • Financial Advisor 

    NEW

    First Command Financial Services

     - Hagĺtńa, GU

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

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

    NEW

    Vanguard

     - Malvern, PA

    Financial Advisor Financial Advice Malvern, PA , June 19, 2015 Apply Keep Me In Mind Add to cart Vanguard, one of the world's largest investment management companies and a...

    3 days ago from Glassdoor
     
  • 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,...

    4 days ago from AXA Advisors, LLC
     
  • Financial Advisor

    AIG

     - Los Angeles, CA

    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 AIG
     
  • Financial Advisor

    Mutual of Omaha-nj Office

     - New Jersey

    Financial Advisor Mutual of Omaha - [The New Jersey Division Office] As a Financial Advisor with Mutual of Omaha Financial Advisors, your goal is creating, maintaining, and...

    6 days ago from Mutual of Omaha-NJ Office
  • Financial Professional 

    NEW

    AXA Advisors

     - San Diego, CA

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

    21 hours ago from Glassdoor
     
  • Financial Consultant 

    NEW

    AXA Advisors

     - Buffalo, NY

    AXA Advisors is a leader in helping individuals and businessesaddress their financial goals through financial strategies,investment services and risk management. We have more than...

    3 days ago from JOBS Employment Board
     
  • Financial Sales Manager 

    NEW

    AXA Advisors

     - Los Angeles, CA

    Company Description You are a leader. You have the vision to chart long-term strategies and the persistence to put those strategies into practice. At AXA Advisors, LLC, leaders...

    3 days ago from Glassdoor
     
  • Branch Controls (Compliance) Specialist 

    NEW

    AXA Advisors

     - San Francisco, CA

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

    3 days ago from Glassdoor
     
  • Financial Professional - CA, Francisco 

    NEW

    AXA Advisors

     - San Francisco, CA

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

    3 days ago from Glassdoor
     
  • Branch Controls Manager (Compliance Manager) 

    NEW

    AXA Advisors

     - San Mateo, CA

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

    3 days ago from Glassdoor
     
  • Financial Professional - CA, Middle Pennisula Area 

    NEW

    AXA Advisors

     - San Mateo, CA

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

    3 days ago from Glassdoor
     
  • 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,...

    4 days ago from AXA Advisors, LLC
  • Regional Support Specialist - Advisor Services (DC Metro Region)(0629-24204) 

    NEW

    Charles Schwab Corporation

     - Vienna, VA

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

    8 hours ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant 

    NEW

    Charles Schwab Corporation

     - Oakland, 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...

    17 hours ago from BrokerHunter.com
     
  • Associate Financial Consultant 

    NEW

    Charles Schwab Corporation

     - Tucson, AZ

    Description:Tucson \- AZ, BRAZTC, 4640 East Sunrise Dr, 85718\-4599 **We believe that** , when done right, investing liberates people to create their own destiny\. **We are...

    17 hours ago from BrokerHunter.com
     
  • Ops Asset Transfer Services Specialist 

    NEW

    Charles Schwab Corporation

     - Denver, CO

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

    17 hours ago from BrokerHunter.com
     
  • Licensed Account Solutions Associate 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

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

    17 hours ago from BrokerHunter.com
     
  • Margins Operations Representative 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Description:Englewood \- CO, DEN3, 9401 E Panorama Circle, 80112 **We believe that** , when done right, investing liberates people to create their own destiny\. **We are driven**...

    18 hours ago from job.com
     
  • Asset Transfer Services Team Lead 

    NEW

    Charles Schwab Corporation

     - Phoenix, AZ

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

    18 hours ago from job.com
     
  • Portfolio Consultant - Schwab Private Client, Indianapolis (CS) 

    NEW

    Charles Schwab Corporation

     - Indianapolis, IN

    Description: Indianapolis - IN, BSINXK, 8332 Woodfield Crossing Blvd, 46240-2482 We believe that , when done right, investing liberates people to create their own destiny. We are...

    1 day ago from Glassdoor
     
  • Portfolio Consultant - Schwab Private Client, Lone Tree (CS) 

    NEW

    Charles Schwab Corporation

     - Denver, CO

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

    1 day ago from Glassdoor
     
  • Vice President, Financial Consultant - Centralized Branch 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Description: Lone Tree - CO, DENR1, 9875 Schwab Way, 80124 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our purpose...

    1 day ago from Glassdoor
     
  • Vice President, Financial Consultant - Branch Career Networking Event 

    NEW

    Charles Schwab Corporation

     - Seattle, WA

    Description: Vice President - Financial Consultant - Branch Career Networking Event - Greater Seattle, WA Market Job Code: 201514 Are you interested in learning more about Charles...

    1 day ago from Glassdoor
     
  • Asset Transfer Services Team Lead 

    NEW

    Charles Schwab Corporation

     - Phoenix, AZ

    Description: Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Vice President, Branch Manager - Manchester, NH (Lynnfield, MA, Portland, ME, Portsmouth, NH) 

    NEW

    Charles Schwab Corporation

     - Lynnfield, MA

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

    1 day ago from Glassdoor
     
  • Financial Consultant Assistant - Chicago, IL (Michigan Ave) 

    NEW

    Charles Schwab Corporation

     - Chicago, IL

    Description: Chicago - IL, BRILCH, 430 N Michigan Ave, 60611-4011 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • TOA Relationship Specialist 

    NEW

    Charles Schwab Corporation

     - Phoenix, AZ

    Description: Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Bilingual Associate Financial Consultant 

    NEW

    Charles Schwab Corporation

     - Arcadia, CA

    Description: Arcadia - CA, BRCAI8, 1108 S. Baldwin Ave, 91007-7508 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Brokerage Service Representative 

    NEW

    Charles Schwab Corporation

     - Richfield, OH

    Description: Richfield - OH, OHRICHST, 4199 Kinross Lakes Parkway, 44286 We believe that , when done right, investing liberates people to create their own destiny. We are driven...

    1 day ago from Glassdoor
     
  • Stock Plan Services Professional 

    NEW

    Charles Schwab Corporation

     - Phoenix, AZ

    Description: Phoenix - AZ, 850ESBNK, 2423 E. Lincoln Drive, 85016 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Associate Financial Consultant - Chicago, IL (Wacker Dr) 

    NEW

    Charles Schwab Corporation

     - Chicago, IL

    Description: Chicago - IL, BRILLP, 150 S Wacker Dr, 60606-4111 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Associate Financial Consultant- Bay 

    NEW

    Charles Schwab Corporation

     - San Luis Obispo, CA

    Description: Oakland - CA, BRCAOD, 1939 Harrison St, 94612-3532 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Product Support Manager - Stock Plan Services 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Description: Lone Tree - CO, DENR1, 9875 Schwab Way, 80124 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our purpose...

    1 day ago from Glassdoor
     
  • Vice President, Financial Consultant - Chicago, IL (Michigan Ave) 

    NEW

    Charles Schwab Corporation

     - Chicago, IL

    Description: Chicago - IL, BRILCH, 430 N Michigan Ave, 60611-4011 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Brokerage Service Specialist - Advisor Custody & Trading 

    NEW

    Charles Schwab Corporation

     - Denver, CO

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

    1 day ago from Glassdoor
     
  • Stock Loan Securities Lending Specialist 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

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

    1 day ago from Glassdoor
     
  • Team Manager, Client Banking Services 

    NEW

    Charles Schwab Corporation

     - Ann Arbor, MI

    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 passion...

    1 day ago from Glassdoor
  • Vice President, Financial Consultant - Chicago (Wacker Drive) 

    NEW

    Charles Schwab Corporation

     - Chicago, IL

    Description: Chicago - IL, BRILLP, 150 S Wacker Dr, 60606-4111 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Vice President, Financial Consultant - Chicago, IL (Lincoln Park) 

    NEW

    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 passion...

    1 day ago from Glassdoor
     
  • Regional Director - Institutional Sales 

    NEW

    Charles Schwab Corporation

     - Chicago, IL

    Description: Chicago - IL, BRILLP, 150 S Wacker Dr, 60606-4111 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Associate Financial Consultant - Orlando (Maitland) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

    Description: Orlando - FL, BSFL2Z, 1991 Summit Park Drive, 32810 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Estates Services Associate 

    NEW

    Charles Schwab Corporation

     - Indianapolis, IN

    Description: Indianapolis - IN, INDYC, 8332 Woodfield Crossing Blvd, 46240-2482 We believe that , when done right, investing liberates people to create their own destiny. We are...

    1 day ago from Glassdoor
     
  • Margins Operations Representative 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

    Description: Englewood - CO, DEN3, 9401 E Panorama Circle, 80112 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Financial Consultant Assistant 

    NEW

    Charles Schwab Corporation

     - Paramus, NJ

    Description: Paramus - NJ, BRNJPU, 185 Route 17 South, 07652-2903 We believe that , when done right, investing liberates people to create their own destiny. We are driven by our...

    1 day ago from Glassdoor
     
  • Associate Financial Consultant - Branch Career Networking Event 

    NEW

    Charles Schwab Corporation

     - Seattle, WA

    Description: Associate Financial Consultant - Branch Career Networking Event - Greater Seattle, WA Market Job Code: 201710 Are you interested in learning more about Charles...

    1 day ago from Glassdoor
     
  • Financial Consultant 

    NEW

    Charles Schwab Corporation

     - South Bend, IN

    Charles Schwab is hiring a Financial Consultant for our South Bend/Mishawaka branch Office As a Schwab Financial Consultant (FC), you'll be assigned a book of existing high net...

    2 days ago from TheJobNetwork
     
  • Vice President, Financial Consultant - Annapolis, MD(20150624-2294) 

    NEW

    Charles Schwab Corporation

     - Annapolis, MD

    Annapolis - MD, BRMDAI, 170 Jennifer Rd, 21401-7972 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    2 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant- Bay Area, CA(0521-23591) 

    NEW

    Charles Schwab Corporation

     - Bakersfield, CA

    Oakland - CA, BRCAOD, 1939 Harrison St, 94612-3532 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    2 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Tucson, AZ(20150616-2219) 

    NEW

    Charles Schwab Corporation

     - Tucson, AZ

    Tucson - AZ, BRAZTC, 4640 East Sunrise Dr, 85718-4599 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    2 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Bend, OR(0406-22756) 

    NEW

    Charles Schwab Corporation

     - Bend, OR

    Anchorage - AK, BRAKQA, 1400 W Benson Blvd, 99503-3688 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    3 days ago from Charles Schwab Corporation
     
  • Client Service Specialist- Menlo Park 

    NEW

    Charles Schwab Corporation

     - San Jose, CA

    Description:Menlo Park \- CA, BRCAMP, 800 El Camino Real, 94025\-4875 **We believe that** , when done right, investing liberates people to create their own destiny\. **We are...

    3 days ago from BrokerHunter.com
     
  • ACT Trade Reconciliation Specialist 

    NEW

    Charles Schwab Corporation

     - Phoenix, AZ

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

    3 days ago from BrokerHunter.com
     
  • Vice President, Financial Consultant - Harrisburg, PA(20150619-2242)

    Charles Schwab Corporation

     - Harrisburg, PA

    Harrisburg - PA, BRPAHG, 22 A North Second St, 17101 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    4 days ago from Charles Schwab Corporation
     
  • Licensed Account Solutions Associate(0625-24142)

    Charles Schwab Corporation

     - Orlando, FL

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

    4 days ago from Charles Schwab Corporation
     
  • Ops Asset Transfer Services Specialist(20150615-2187)

    Charles Schwab Corporation

     - Lone Tree, CO

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

    4 days ago from Charles Schwab Corporation
     
  • TOA Relationship Specialist(20150527-1957)

    Charles Schwab Corporation

     - Phoenix, AZ

    Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    5 days ago from Charles Schwab Corporation
     
  • Client Service Specialist- Menlo Park, CA(20150622-2254)

    Charles Schwab Corporation

     - San Jose, CA

    Menlo Park - CA, BRCAMP, 800 El Camino Real, 94025-4875 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    5 days ago from Charles Schwab Corporation
     
  • Client Service Specialist

    Charles Schwab Corporation

     - Seattle, WA

    Description: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...

    5 days ago from BrokerHunter.com
     
  • Senior Specialist - Compliance

    Charles Schwab Corporation

     - Boston, MA

    Description:Boston \- MA, WNWMAIP, One International Place, 02110\-2600 David W Thompson **We believe that** , when done right, investing liberates people to create their own...

    5 days ago from BrokerHunter.com
     
  • Associate Financial Consultant - Tyson's Corner

    Charles Schwab Corporation

     - Tysons Corner, VA

    Description:Tysons Corner \- VA, BRVATY, 1650 Tysons Blvd, 22102\-4856 Veronica Vecchio **We believe that** , when done right, investing liberates people to create their own...

    5 days ago from BrokerHunter.com
     
  • IIP Trade Reconciliation Specialist(20150519-1835)

    Charles Schwab Corporation

     - Phoenix, AZ

    Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    6 days ago from Charles Schwab Corporation
     
  • ACT Trade Reconciliation Specialist(20150605-2089)

    Charles Schwab Corporation

     - Phoenix, AZ

    Phoenix - AZ, PHXPEAK, 2423 E Lincoln Dr, 85016-1215 We believe that, when done right, investing liberates people to create their own destiny. We are driven by our purpose to...

    6 days ago from Charles Schwab Corporation
  • New Account Principal I-Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Columbus, OH

    Schedule is Monday - Friday, 11am - 8pm ET, Some Saturdays required This position is part of the retail broker dealer business. The successful candidate needs to have a strong...

    8 hours ago from JPMorgan Chase & Co
     
  • Corporate Compliance - AML Surveillance - Vice President 

    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...

    8 hours ago from JPMorgan Chase & Co
     
  • Corporate Compliance - AML Surveillance - Associate 

    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...

    8 hours ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management (Santa Barbara) 

    NEW

    JPMorgan Chase

     - Santa Barbara, 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...

    8 hours ago from JPMorgan Chase & Co
     
  • Chase Wealth Management - Financial Advisor (Buena Park) 

    NEW

    JPMorgan Chase

     - Buena Park, 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...

    8 hours ago from JPMorgan Chase & Co
     
  • Private Bank - Global Investment Specialist 

    NEW

    JPMorgan Chase

     - Denver, CO

    JPMorgan Private Banking Investor Job Description JP Morgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of more than %242 trillion and...

    8 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Duncanville, Texas (Duncanville Main) 

    NEW

    JPMorgan Chase

     - Duncanville, 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...

    3 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Miami, FL (Biscayne & 18th/ Midtown)

    JPMorgan Chase

     - Miami, 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
     
  • Anticipated Financial Advisor - Chase Wealth Management - Briarwood

    JPMorgan Chase

     - Ann Arbor, MI

    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 Financial Advisor - Chase Wealth Management - Fort Northline

    JPMorgan Chase

     - Wyandotte, MI

    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
     
  • Chase Private Client - Private Client Advisor - Orlando, FL (Bayhill)

    JPMorgan Chase

     - Orlando, 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
     
  • Anticipated Private Client Advisor - Chase Private Client

    JPMorgan Chase

     - Atlanta, GA

    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 - Chase Wealth Management - Coconut Grove/ The Gables

    JPMorgan Chase

     - Coral Gables, 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
     
  • Anticipated Financial Advisor - Chase Wealth Management - Ford Rd Canton Center

    JPMorgan Chase

     - Michigan

    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
     
  • Private Client Advisor - Chase Private Client - South Austin, Texas Area

    JPMorgan Chase

     - Lakeway, 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...

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

    JPMorgan Chase

     - Buda, 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...

    5 days ago from JPMorgan Chase & Co
     
  • Chase Private Client Service Associate - Century City

    JPMorgan Chase

     - Los Angeles, CA

    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...

    6 days ago from JPMorgan Chase & Co
  • Senior Marketing Consultant 

    NEW

    MetLife

     - Charlotte, NC

    Summary of Responsibilities: The Senior Marketing Consultant will be responsible for all aspects of marketing MetLife's Fixed Annuity products. The responsibilities include, but...

    1 day ago from InsuranceJobs.com
     
  • Lead Broker Dealer Principal (Series 24 or 9 & 10 License Required) 

    NEW

    MetLife

     - Charlotte, NC

    Functional Responsibilities: Highest level non-managerial individual contributor in this family, widely known for his/her subject matter expertise. Works independently Acts as a...

    2 days ago from InsuranceJobs.com
     
  • Managing Sales Director II 

    NEW

    MetLife

     - Fort Lauderdale, FL

    SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team of Senior Sales Leaders and/or Sales Leaders, by...

    2 days ago from InsuranceJobs.com
     
  • Managing Sales Director

    MetLife

     - Charlotte, NC

    Managing Sales Director SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team of Senior Sales Leaders...

    5 days ago from InsuranceJobs.com
     
  • Managing Sales Director I

    MetLife

     - Raleigh, NC

    SUMMARY OF RESPONSIBILITIES: The primary role of the Managing Sales Director is to manage a detached office location and/or a team of Senior Sales Leaders and/or Sales Leaders, by...

    5 days ago from InsuranceJobs.com

Senior Compliance Analyst

Leading Financial Services Firm

 - Boston, MA

Operation's policies and procedures for compliance with State, SEC, FINRA and NAIC ... of opinion Knowledge base of the broker/dealer, registered investment adviser and...

5 days ago from IvyExec
  • Supervisory Principal 

    NEW

    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...

    6 hours ago from The Asian American Lawyers Association...
     
  • Vice President - Product Solutions 

    NEW

    BNY Mellon

     - Jersey City, NJ

    • Develop and manage the advisor and Broker/Dealer onboarding experience ... • Ongoing oversight of the advisor and Broker/Dealer toolset to ensure it continues to mee...

    7 hours ago from BNY Mellon
     
  • Corporate Compliance - AML Surveillance - Vice President 

    NEW

    JPMorgan Chase

     - New York City, NY

    within the surveillance group in JPMorgan's compliance department. The group is primarily ... • Relevant regulatory or broker-dealer experience such as a role in compliance,...

    8 hours ago from JPMorgan Chase & Co
     
  • Corporate Compliance - AML Surveillance - Associate 

    NEW

    JPMorgan Chase

     - New York City, NY

    within the surveillance group in JPMorgan's compliance department. The group is primarily ... • Relevant regulatory or broker-dealer experience such as a role in compliance,...

    8 hours ago from JPMorgan Chase & Co
     
  • New Account Principal I-Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Columbus, OH

    required This position is part of the retail broker dealer business. The successful ... Ensure compliance with all department and regulatory (AML, SEC, FINRA, etc) account openin...

    8 hours ago from JPMorgan Chase & Co
     
  • Legal Counsel 

    NEW

    Fidelity Investments

     - Westlake, TX

    Provide legal support and advice to Fidelity broker-dealer entities on matters pertaining ... experience in retirement and broker dealer law, specifically, experience in...

    8 hours ago from Fidelity Investments
     
  • Compliance Examiner - Market Regulation, Trading & Financial Compliance Examinations (TFCE)

    NEW

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    enforced by FINRA; performs preventive compliance functions. Presents investigative ... their broker-dealers to provide FINRA with duplicate statements for all of those...

    9 hours ago from Just Jobs
     
  • Compliance Examiner - Member Regulation, Sales Practice 

    NEW

    Financial Industry Regulatory Authority (finra)

     - New York, NY

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

    9 hours ago from Just Jobs
     
  • Financial Operations Examiner - Market Regulation, Trading & Financial ComplianceExaminations 

    NEW

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    to numerous areas of a broker-dealer's business. Some travel may be required. FINRA ... to authorize theirbroker-dealers to provide FINRA with duplicate statements for all of...

    9 hours ago from Just Jobs
     
  • Examination Manager - Market Regulation, Trading & Financial Compliance Examinations (TFCE) Financial Operations 

    NEW

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    regulator. FINRA employees are required to disclose to FINRA all brokerage ... to authorize their broker-dealers to provide FINRA with duplicate statements for all of...

    9 hours ago from Just Jobs
     
  • Regulatory Coordinator - Member Regulation, Sales Practice 

    NEW

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    relevant data to ensure compliance with FINRA and SEC rules and regulations. ... their broker-dealers to provideFINRA with duplicate statements for all of those...

    9 hours ago from Just Jobs
     
  • Alternative Net Capital (ANC) Examiner - Member Regulation, ROOR 

    NEW

    Financial Industry Regulatory Authority (finra)

     - 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...

    9 hours ago from Just Jobs
     
  • Supervisory Principal 

    NEW

    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...

    9 hours ago from LPL Financial
     
  • Compliance Manager - Political Law 

    NEW

    Prudential Financial

     - Newark, NJ

    some Investment Advisor and Broker Dealer compliance experience. Primary ... Act") and the Rules there underBroker Dealer and FINRA rules Securities...

    10 hours ago from Prudential Financial, Inc
     
  • Region Administration Manager 

    NEW

    US Bank

     - Boulder, CO

    and procedures. Ensure compliance regarding FINRA and SEC regulatory standards. Onboard ... or equivalent work experience in broker dealer sales operations - Five or more years...

    11 hours ago from US Bank
     
  • Field Auditor - NRS - New Jersey - Homebased 

    NEW

    Elsevier

     - New Jersey

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

    11 hours ago from Women's Career Channel
     
  • Assoc Compliance Analyst 

    NEW

    ING Financial Services

     - Windsor, CT

    advertising compliance support to Voya broker/dealers; consistently review and ... * Provide ongoing support for retail broker/dealer's expanded social media and recruiting...

    11 hours ago from A Mighty River
     
  • Assistant General Counsel, Investment and Investment Advisory 

    NEW
    San Francisco, CA

    Maintain, draft and monitor compliance with policies and procedures Support ... matters Familiarity with broker-dealer regulation, including SEC/FINRA...

    12 hours ago from IvyExec
     
  • Quantitative Research Analyst/Financial Engineer 

    NEW

    Securities and Exchange Commission

     - Boston, MA

    the nation's registered entities, including broker-dealers, transfer agents, investment ... advisers, investment companies, broker-dealers, and private fund managers, conducting...

    15 hours ago from QuantFinanceJobs.com
     
  • Financial Associate 

    NEW

    Webster Bank

     - Groton, CT

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

    21 hours ago from Webster Bank
     
  • Investment Management Associate Senior Associate - Securities 

    NEW

    Leading Law Firm

     - Washington, DC

    and representing investment advisers, broker-dealers, hedge funds, securities ... or securities trade associations regarding compliance with federal and state securities...

    22 hours 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...

    22 hours ago from IvyExec
     
  • Compliance Manager 

    NEW

    European Leader In Global Banking and Financial Services

     - San Francisco, CA

    Compliance Helps develop Business Unit compliance training programs Participates in ... Strong knowledge of bank/broker-dealer compliance Compliance expertise in investment...

    22 hours ago from IvyExec
     
  • Asset Wealth Management - Regulatory Marketing Review Group 

    NEW

    Top Tier Financial Services Company

     - Jacksonville, FL

    Collaboration with internal partners/Legal/Compliance/provide guidance for review of inter ... materials from an investment adviser, broker-dealer, and private bank regulatory...

    22 hours ago from IvyExec
     
  • Analyst, Quantitative Analytics 

    NEW

    Independent Securities Regulator

     - New York City, NY

    of market participants in mainly Broker-Dealer space. ADAU staff will support ... Participate in examinations ofbroker-dealers, conducting interviews of compliance profess...

    22 hours ago from IvyExec
  • Associate Director, Quantitative Analytics 

    NEW

    Independent Securities Regulator

     - New York City, NY

    of market participants in mainly Broker-Dealer space. ADAU staff will support ... Regulation staff during the examinations of broker-dealers by conducting interviews of...

    22 hours ago from IvyExec
     
  • VP Premier Relationship Manager 

    NEW

    Major Banking and Financial Services Company

     - Rockville, MD

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

    22 hours ago from IvyExec
     
  • AVP & Counsel (Distribution) 

    NEW

    Leading Insurance Company

     - Springfield, MA

    Services, LLC. (MMLIS), a registered broker-dealer and investment adviser, and ... on retail investment advisory and broker-dealer product development o Providing...

    22 hours ago from IvyExec
     
  • Regulatory Analyst - Market Regulation, Fixed Income 

    NEW

    Finra

     - Rockville, MD

    FINRA; performs preventive compliance functions.Ă? Presents investigative findings ... of FINRA and no fee will be paid in the event that person is hired by FINRA. Ă? Ă?Â...

    1 day ago from The Washington Post
     
  • Analyst, Advertising Regulation 

    NEW

    Finra

     - Rockville, MD

    of securities and broker-dealer services and methods of marketing required. Thorough ... their broker-dealers to provide FINRA with duplicate statements for all of those accounts...

    1 day ago from The Washington Post
     
  • Public Offerings Analyst, Corporate Financing 

    NEW

    Finra

     - Rockville, MD

    arrangements for compliance with FINRA/NASD and SEC rules and federal ... www.finra.org/careers Ă? into your browser to reach our site directly. Ă? FINRA...

    1 day ago from The Washington Post
     
  • Senior Analyst/Manager, Office of Ombudsman, Rockvlle,MD 

    NEW

    Finra

     - Washington, DC

    also work with FINRA constituents and FINRA departments to explore options to help ... FINRA Careers site, enter www.finra.org/careers into your browser to reach our site...

    1 day ago from The Washington Post
     
  • Senior Application Security Engineer 

    NEW

    Finra

     - Rockville, MD

    regulator. FINRA employees are required to disclose to FINRA all brokerage accounts ... authorize their broker-dealers to provide FINRA with duplicate statements for all of...

    1 day ago from The Washington Post
     
  • 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;...

    1 day ago from Glassdoor
     
  • KYC Analyst II 

    NEW

    Kforce Inc.

     - Lake Mary, FL

    7-10 years of relevant experience preferred Compliance/Anti-Money Laundering experience ... experience) Working knowledge of Introducing Broker Dealers and FINRA regulations Working...

    1 day ago from CareerRookie.com
     
  • Advertising Compliance Analyst 

    NEW

    First Investors

     - New York City, NY

    ESSENTIAL DUTIES AND RESPONSIBILITIES: SEC and FINRA compliance review of marketing/public ... preferably with a FINRA member broker dealer or SEC registered investment adviser;...

    1 day ago from Glassdoor
     
  • ALR Internal Life Wholesaler II 

    NEW

    Allstate

     - Northbrook, IL

    The internal wholesaler is responsible for supporting strict adherence to broker/dealer po ... Expertise in FINRA, SEC, Broker/Dealer compliance requirements...

    2 days ago from Women's Career Channel
     
  • VP Senior Branch Manager 

    NEW

    HSBC

     - Miller Place, NY

    needs and aspirations. Role as broker-dealer Registered Representative Assist in ... Area Compliance Officer or Local Compliance Officer, ensuring adequate compliance...

    2 days ago from HSBC
     
  • Lead Broker Dealer Principal (Series 24 or 9 & 10 License Required) 

    NEW

    MetLife

     - Charlotte, NC

    new account applications from broker dealer distribution channels to ensure all ... business cases for compliancewith internal, FINRA , and SEC suitability and replacement...

    2 days ago from InsuranceJobs.com
     
  • Analyst, Quantitative Analytics 

    NEW

    Financial Industry Regulatory Authority

     - New York, NY

    of broker-dealers, conducting interviews of compliance professionals and ... with the employee) and to authorize their broker-dealers to provide FINRA with...

    2 days ago from IHispano
     
  • Manager, Securities Retiree Helpline 

    NEW

    Finra

     - Boca Raton, FL

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

    3 days ago from Jofdav
     
  • Analyst, Securities Retiree Helpline 

    NEW

    Finra

     - Boca Raton, FL

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

    3 days ago from Jofdav
     
  • Communications Specialist 

    NEW

    Federal Government Jobs

     - Washington, DC

    nation's registered entities, including broker-dealers, transfer agents, investment ... Industry Regulatory Authority ("FINRA") and the Municipal Securities Rulemaking...

    3 days ago from The AFRO-American
     
  • Branch Examiner 

    NEW

    UBS - Finance Industry

     - Weehawken, NJ

    identify red flag issues and determine compliance with firm and regulatory rules and ... • Series 7 licensed andbroker/dealer branch experience preferred Preferred Qualifications...

    3 days ago from VelvetJobs
     
  • Regulatory Inquiries Group - Vice President 

    NEW

    Morgan Stanley - Finance Industry

     - New York City, NY

    of Morgan Stanley's North American broker-dealer entities (principally MSCO and ... organization such as the NYSE, FINRA, AMEX, SEC or similar broker/dealer regulatory...

    3 days ago from VelvetJobs
     
  • Examination Manager - Member Regulation, ROOR 

    NEW

    Financial Industry Regulatory Authority (finra)

     - New York, NY

    and initiative, consider a career with FINRA. Important Information FINRA's Code of ... the employee) and to authorize their broker-dealers to provide FINRA with duplicate...

    3 days ago from Just Jobs
     
  • AVP, Compliance Officer 

    NEW

    Financial, Nyc

     - New York City, NY

    accounts to assess compliance with any or all of SEC, FINRA, non-US, and Ares internal ... of FINRA rules forBroker Dealers •Interpretation of Regulation •Working knowledge...

    3 days ago from Financial, NYC
     
  • SVP Recruiting and Acquistion Strategy 

    NEW

    AIG

     - Phoenix, AZ

    Royal, FSC, SagePoint and Woodbury Financial broker dealers. In addition the incumbent ... EVP of Recruiting Strategy and respective Broker Dealer Presidents to identify,...

    3 days ago from Internship.com
     
  • CT - Ops Risk Control Manager 

    NEW

    BNY Mellon

     - Jersey City, NJ

    scenes to power transformational change for broker-dealers, registered investment ... and promote a strong control and regulatory compliance culture. Ensures proper functional...

    3 days ago from BNY Mellon
     
  • Compliance Officer 

    NEW

    Hanson McClain Advisors

     - Sacramento, CA

    registered representatives on complex broker-dealer / investment adviser issues, FINRA, ... enhancing, developing and implementing compliance policies and procedures; assisting...

    3 days ago from Accolo
  • International Financial Services Regulatory Associate 

    NEW

    Bressler, Amery & Ross, P.C.

     - Miami, FL

    Associate will assist in counseling broker-dealers, investment advisers, and banks on ... candidate will have experience with SEC, FINRA and broker-dealer regulations. Some...

    3 days ago from Legal Career Network
     
  • Compliance Manager at Top Asset Management Firm 

    NEW

    Forum Group

     - Manhattan, NY

    representatives for FINRA and SEC compliance Position Requirements BA/BS required ... of Canadian regulation of advisers and broker dealers preferred. FINRA/NFA licenses...

    3 days ago from eFinancial Careers
     
  • Associate / Associate Director (Finance) 

    NEW

    BOC International

     - New York City, NY

    Provide support to fulfill the financial compliance requirement under the CFTC / CME or ... 4+ years working experiences in broker-dealer / brokerage / commodities / audit...

    3 days ago from eFinancial Careers
     
  • Regulatory Attorney with 2-4 years of corporate experience 

    NEW

    BCG Attorney Search

     - Miami, FL

    The candidate will assist in counseling broker-dealers, investment advisers, and ... matters. Must have experience with SEC, FINRA and broker-dealer regulations. Some...

    3 days ago from BCG Attorney Search
     
  • Regulatory Attorney with 2-4 years of corporate/SEC experience 

    NEW

    BCG Attorney Search

     - Fort Lauderdale, FL

    The candidate will assist in counseling broker-dealers, investment advisers, and ... matters. Must have experience with SEC, FINRA and broker-dealer regulations. Some...

    3 days ago from BCG Attorney Search
     
  • Compliance Specialist - Registration and Licensing 

    NEW

    Edelman Financial Services

     - Fairfax, VA

    management systems used to support the Compliance Department Requirements: Bachelor's ... insurance licensing and broker/dealer registration processing experience...

    3 days ago from The Washington Post
     
  • SVP Recruiting and Acquistion Strategy 

    NEW

    AIG

     - Atlanta, GA

    Royal, FSC, SagePoint and Woodbury Financial broker dealers. In addition the incumbent ... EVP of Recruiting Strategy and respective Broker Dealer Presidents to identify,...

    4 days ago from Internship.com
     
  • Director, Compliance - Advertising Review

    Ameriprise Financial

     - Minneapolis, MN

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

    4 days ago from Disabled Persons
     
  • Vice President - Investment Performance Reporting, Advice & Wealth Management (AWM)

    Ameriprise Financial

     - Minneapolis, MN

    into consideration all needs of the broker-dealer (end client (novice to sophisticated ... in investment performance reporting within a broker-dealer organization * Bachelor's...

    4 days ago from Disabled Persons
     
  • Senior Compliance Officer, Surveillance

    Finra Member Broker-dealer

     - New York City, NY

    years FINRA Member Broker-Dealer tenure as a Compliance Officer. May consider Registered ... and knowledge about the regulation of member broker-dealers by FINRA including Anti-Money...

    4 days ago from StartWire
     
  • Senior Auditor, Retirement Solutions

    ING Financial Services

     - Windsor, CT

    5-year basis2 * Atop-tierindependent broker-dealer network in the U.S.3 * ... Experience with State Insurance requirements, NAIC, SEC, and/or FINRA regulation is prefer...

    4 days ago from Women's Career Channel
     
  • Chief Anti Money Laundering Compliance Officer

    Management Consulting and Professional Services Firm

     - St Louis, MO

    required. 10+ years senior level Compliance experience with a Broker-Dealer or a ... Prior experience dealing withFINRA, SEC, OCC, FRB required. Examinations for...

    4 days ago from IvyExec
     
  • Counsel Litigation (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 Litigation (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
     
  • Trade Surveillance Analyst (00975496)

    Michael Page International - US

     - New York City, NY

    required to work for an investment bank and broker dealer in New York. Client Details Our ... a full-service, investment bank and broker-dealer that specializes in the financial...

    4 days ago from eFinancialCareers Ltd
     
  • Compliance Officer - Branch Inspections & Controls (00981616)

    Michael Page International - US

     - Jersey City, NJ

    controls testing program required by FINRA Rules 3110 and 3120. * Conduct branch ... Your background may be from another bank/broker dealer or from a regulator...

    4 days ago from eFinancialCareers Ltd
     
  • Compliance VP (00957694)

    Michael Page International - US

     - Newark, NJ

    experience such as Investment Advisor or Broker Dealer compliance, law, ethics and ... Act) and the Rules there under * Broker Dealer and FINRA rules * Securities...

    4 days ago from eFinancialCareers Ltd
     
  • Vice President, Compliance (00964137)

    Situs

     - Houston, TX

    government and regulatory compliance, with focus on broker-dealer and ... and a commitment to compliance, training, and prevention and detection of compliance...

    4 days ago from eFinancialCareers Ltd
     
  • Vice President, Compliance (00937246)

    CRT Capital Group

     - Stamford, CT

    either via the firm's automated compliance applications or through manual monitoring ... Auction procedures and GSE Dealer Agreements is a plus. Additionally, candidates...

    4 days ago from eFinancialCareers Ltd
     
  • Examination Manager - Member Regulation, Sales Practice - San Francisco, CA(Job Number: 004130) (00945623)

    Finra

     - San Francisco, CA

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

    4 days ago from eFinancialCareers Ltd
     
  • Regulatory Coordinator - Member Regulation, Sales Practice - New York, NY(Job Number: 004140) (00945626)

    Finra

     - New York City, NY

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

    4 days ago from eFinancialCareers Ltd
     
  • Alternative Net Capital (ANC) Examiner - Member Regulation, ROOR - New York, NY(Job Number: 004233) (00966636)

    Finra

     - New York City, NY

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

    4 days ago from eFinancialCareers Ltd
     
  • Financial Operations Examiner - Member Regulation, ROOR - New York, NY(Job Number: 004212) (00966638)

    Finra

     - New York City, NY

    financial and operational condition and compliance with SEC and FINRA rules and ... of a broker-dealer's business. * FINRA examiners work in a team environment, frequently...

    4 days ago from eFinancialCareers Ltd
     
  • Associate Director, Quantitative Analytics - New York, NY(Job Number: 004181) (00967100)

    Finra

     - New York City, NY

    broker-dealers by conducting interviews of compliance professionals and ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA is an...

    4 days ago from eFinancialCareers Ltd
     
  • Public Offerings Analyst, Corporate Financing - Rockville, MD(Job Number: 004235) (00976991)

    Finra

     - Rockville, MD

    proposed underwriting arrangements for compliance with FINRA/NASD and SEC rules and ... and to authorize their broker-dealers to provide FINRA with duplicate statements for all...

    4 days ago from eFinancialCareers Ltd
  • Associate General Counsel 

    NEW

    Pcaob

     - Washington, DC

    The PCAOB also oversees the audits of broker-dealers, including compliance reports ... regular position for an Associate General Counsel at its Washington, DC headquarters...

    21 hours ago from Glassdoor
     
  • AVP & Counsel (Distribution) 

    NEW

    Leading Insurance Company

     - Springfield, MA

    LLC. (MMLIS), a registered broker-dealer and investment adviser, and MassMutual's ... on retail investment advisory and broker-dealer product development o Providing...

    22 hours ago from IvyExec
     
  • Sr Counsel 

    NEW

    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...

    1 day ago from Professional Diversity Network
     
  • Regulatory Policy Specialist, Office of General Counsel 

    NEW

    Finra

     - Washington, DC

    Attorneys in the Office of General Counsel (OGC) in connection with the complete ... to authorize their broker-dealers to provide FINRA with duplicate statements for all of...

    1 day ago from The Washington Post
     
  • Enforcement Counsel 

    NEW

    Finra

     - Rockville, MD

    hearings as its staff attorney, including marshaling, organizing and presenting ... broker-dealers to provide FINRA with duplicate statements for all of those accounts .

    1 day ago from The Washington Post
     
  • Corporate Counsel Job 

    NEW

    Bloomberg

     - New York City, NY

    and foreign laws, coordinate with outside counsel, draft product descriptions, draft ... Knowledge of U.S. securities laws, including broker-dealer regulation, desirable The...

    3 days ago from Bloomberg
     
  • International Financial Services Regulatory Associate 

    NEW

    Bressler, Amery & Ross, P.C.

     - Miami, FL

    Associate will assist in counseling broker-dealers, investment advisers, and banks on ... will have experience with SEC, FINRA and broker-dealer regulations. Some corporate...

    3 days ago from Legal Career Network
     
  • Regulatory Attorney with 2-4 years of corporate experience 

    NEW

    BCG Attorney Search

     - Miami, FL

    The candidate will assist in counseling broker-dealers, investment advisers, and ... Must have experience with SEC, FINRA and broker-dealer regulations. Some corporate...

    3 days ago from BCG Attorney Search
     
  • Regulatory Attorney with 2-4 years of corporate/SEC experience 

    NEW

    BCG Attorney Search

     - Fort Lauderdale, FL

    The candidate will assist in counseling broker-dealers, investment advisers, and ... Must have experience with SEC, FINRA and broker-dealer regulations. Some corporate...

    3 days ago from BCG Attorney Search
     
  • Paralegal, Enforcement

    Finra

     - Chicago, IL

    matters at the directions of the regional attorney such as assisting with indexing ... authorize their broker-dealers to provide FINRA with duplicate statements for all of...

    4 days ago from Disabled Persons
     
  • Counsel Litigation (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 Litigation (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
     
  • Assistant General Counsel - Municipal Securities (00983113)

    Michael Page International - US

     - Manhattan, NY

    General Counsel's Office (GCO) is seeking an attorney to provide transactional and ... * Experience with municipal finance, broker-dealer regulation and derivatives a...

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

    Michael Page International - US

     - Manhattan, NY

    General Counsel's Office (GCO) is seeking an attorney to provide transactional and ... * Experience with municipal finance, broker-dealer regulation and derivatives a...

    4 days ago from eFinancialCareers Ltd
     
  • Paralegal, Enforcement

    Finra

     - Chicago, IL

    matters at the directions of the regional attorney such as assisting with indexing ... to authorize their broker-dealers to provide FINRA with duplicate statements for all of...

    4 days ago from Internship.com
     
  • Investment Adviser with 5+ years of experience

    BCG Attorney Search

     - New York City, NY

    New York based company is seeking an attorney for an indefinite contract attorney attorney ... with 5+ years of investment adviser and/or broker-dealer compliance experience with...

    4 days ago from BCG Attorney Search
     
  • 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 Jofdav
     
  • 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 Jofdav
  • Corporate Counsel - Broker Dealer - Investment Advisor

    Leading Provider of Insurance and Other Financial Services

     - Charlotte, NC

    the limited supervision of a senior attorney in another location. • Strong academic ... timely, and pragmaticcounsel without supervision • Work with and/or guide outside...

    6 days ago from IvyExec