A Personal Note From Bill Singer:
It is with great sadness that I note the passing of my friend and veteran industry compliance professional Richard Berenger, who died on Sunday, December 14th. Rich and I first met in 1986 during our employment at the NASD's New York District Office, and we maintained a friendship throughout the years. Rich was an invaluable and trusted consultant to me and my clients. Rich will be fondly remembered by his friends and colleagues as one of Wall Street's lovable characters, who always had a smile and laugh, and knew the answer to your regulatory/compliance questions. My life is richer for knowing him.
For more details: http://www.sorcefuneralhome.com/book-of-memories/2003652/Berenger-Richard/service-details.php.
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...
JPMorgan Private Bank is a global wealth management leader that delivers the highest quality advice, service, capabilities and products to high net worth and ultra high net worth...
Managing Director, Corporate Client Banking - Western Region -General Industries Group, San Francisco Description: The position is a corporate banking Relationship Management role...
The Investments Middle Office embraces a set core values that underlie the foundation of a high performance culture, guiding how we act as individuals and how we interact with...
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 $2.3...
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...
J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
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...
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 trillion and...
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 $2.3...
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 trillion and...
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 trillion and...
J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...
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 $2.3...
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...
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...
J.P. Morgan Private Bank Investment Specialist Job Description J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments...
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...
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 $2.3...
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...
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...
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 $2.3...
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...
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 $2.3...
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 $2.3...
Position Title: Associate Financial Advisor Position Description: Step into an instrumental role and work as an employee of an independent advisor franchisee with a financial...
The Compliance Analyst plays a critical role in helping the firm fulfill our regulatory obligations by conducting testing of broker-dealer written supervisory procedures (WSPs).
Compliance Analyst Job ID 3149BR Recruiting Location Minneapolis, MN Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Legal Affairs Job Function Compliance Job...
Senior Manager, Investment Compliance Job ID 2594BR Recruiting Location Minneapolis, MN Boston, MA Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Legal...
Job DescriptionThe Financial Advice Regional Sales Consultant provides subject matter expertise on financial planning concepts, process and tools. The Consultant is accountable...
Job DescriptionResponsible for monitoring state specific metrics to aid in the development of pricing strategies within assigned states. This includes developing action plans,...
Recruiter Job ID 3142BR Recruiting Location Phoenix, AZ Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Human Capital Job Function Talent Acquisition Job...
Job DescriptionResponsible for monitoring state specific metrics to aid in the development of pricing strategies within assigned states. This includes developing action plans,...
Position Title: Associate Financial Advisor Position Description: Step into an instrumental role and work as an employee of an independent advisor franchisee with a financial...
Casualty Claims Representative Job ID 3124BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Business Support &...
Agency Representative Job ID 2200BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Non-Exempt Job Family Sales Job Function Sales...
Administrative Support Specialist 1 - Policy Job ID 3145BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Non-Exempt Job Family...
Subrogation Auto Supervisor Job ID 3152BR Recruiting Location DePere, WI Green Bay, WI Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Business Support &...
Branch Manager - Edina Job ID 2362BR Recruiting Location Edina, MN Full-Time / Part-Time Full-Time Exempt/Non-Exempt Exempt Job Family Sales Job Function Advisor Job Description...
Job DescriptionConducts comprehensive underwriting review of existing auto, home and umbrella business which involves direct communication of decisions to the business staff.
Job DescriptionStep into an instrumental role. Help conduct the smooth operation of a fast-paced-and friendly-financial planning office. Work as an employee of an independent...
Job DescriptionDirect sales supervision of discretionary trading platform (SPS Advisor) and Structured Products. Required contact with advisors, field leaders and clients; in...
Job DescriptionProvides the first point of contact for advisors and field leadership regarding advisor and field compensation, FINRA licensing and registration requirements, and...
Job DescriptionThe Senior Compliance Manager will provide investment compliance support to seek to ensure Columbia Management is meeting its obligations to manage advisory clients...
Job DescriptionThe Client Support Associate position in the Ameriprise Advisor Center (AAC) is responsible for delivering effective support and service to clients and advisors,...
Job DescriptionThe Client Support Associate position in the Ameriprise Advisor Center (AAC) is responsible for delivering effective support and service to clients and advisors,...
Job DescriptionStep into an instrumental role. Help conduct the smooth operation of a fast-paced-and friendly-financial planning office. Work as an employee of an independent...
Job DescriptionIn our Client Service department, associates personify the company's commitment to quality service which puts the clients first. This department has a "one-call...
Job DescriptionThe Client Support Associate position in the Ameriprise Advisor Center (AAC) is responsible for delivering effective support and service to clients and advisors,...
Job DescriptionIn our Client Service department, associates personify the company's commitment to quality service which puts the clients first. This department has a "one-call...
Job Title: Senior Manager - Database Administration Job ID: 103863 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Manager A...
Job Title: Bank Consultant - Forest Hills, NY Job ID: 103905 Job Location: Forest Hills, New York Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...
Job Title: Bank Consultant - New York, NY Job ID: 103907 Job Location: New York, New York Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...
Job Title: Investment Consultant - Columbia, SC Job ID: 104015 Job Location: Columbia, South Carolina Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...
Job Title: Senior .Net Developer Job ID: 104090 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional A...
Job Title: Java / JavaScript Developer Job ID: 103458 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: First Level...
Job Title: Sr Enterprise Project Manager Job ID: 104091 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Manager A leader in...
Job Title: Senior Java Technical Lead Job ID: 103938 Job Location: Columbia, Maryland Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Level Professional A...
Job Title: Investment Consultant - Richmond, VA Job ID: 103643 Job Location: Glen Allen, Virginia Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...
Job Title: Business Development Specialist (Ft. Worth, TX) Job ID: 102744 Job Location: Fort Worth, Texas Employment Type: Contract Type: Regular Manager Level: First Level...
Job Title: Manager Sr, Lean COE Job ID: 101585 Job Location: San Diego, California Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Manager A leader in...
Job Title: Senior Application Architecture Consultant Job ID: 104078 Job Location: Chicago, Illinois Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Level...
Job Title: Senior Manager - Infrastructure Project Management Job ID: 103637 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level:...
Job Title: Sr Analyst, Total Rewards Job ID: 104176 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional A...
Job Title: Service Restoration Manager Job ID: 103992 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A leader in brokerage...
Job Title: Senior Product Manager, Web Channel Job ID: 103762 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Manager...
Job Title: Bank Consultant - Peabody, MA Job ID: 104009 Job Location: Peabody, Massachusetts Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...
Job Title: Senior Engineering Consultant Job ID: 103862 Job Location: Columbia, Maryland Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Level Professional...
Job Title: Data Network Production Support (DNPS) Manager Job ID: 103333 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level:...
Job Title: Business Manager Job ID: 104089 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Manager A leader in brokerage and...
Job Title: Analyst, Sr Lean COE Job ID: 103922 Job Location: San Diego, California Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level Professional A...
Job Title: Director, Audit - Institutional Job ID: 104153 Job Location: Fort Worth, Texas Employment Type: Full-Time Contract Type: Regular Manager Level: Director A leader in...
Job Title: Sr Analyst, Total Rewards Job ID: 104176-1 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level: Second Level...
Job Title: Sr. Manager, Enterprise Access Control Governance Job ID: 103738 Job Location: Jersey City, New Jersey Employment Type: Full-Time Contract Type: Regular Manager Level:...
Job Title: Senior Manager - Core Services Engineering Job ID: 103878 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Manager...
Job Description: National insurance defense law firm seeks associate with 4 to 6 years of experience for downtown Manhattan office. Experience must include FINRA and securities...
Enterprise Description: Conducts routine to complex financial crimes or misconduct investigations in diversified operations within the bank. May participate in, or lead...
Responsibilities Provide the delivery of world class customer service experience to our equity, fixed income, and mutual fund clients. Work closely with internal departments to...
BlackRock Corporation US, Inc. seeks a Director, Portfolio Consulting Team Lead, Multi Asset Portfolio and Investment Consulting in New York, NY to function as member of the...
Seeking a candidate who will be responsible to conduct reviews of marketing materials to ensure conformance with US regulatory requirements as well as firm policies and...
content spacer Key responsibilities include: The Business Supervisory Analyst will assist both Asset and Wealth Management division to ensure compliance with all policies and...
Wedbush Securities is one of the largest full-service securities firms and investment banks in the nation. We provide innovative financial solutions through our Private Client...
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Lead Developer/Sr. Java Developer opening in Rockville, MD. To be considered for...
Position Sr. Business Analyst - Equities Domain Location NYC, NY Duration 12 Months No of Positions 1 Mode of Interview In-Person Responsibilities BA - Equities - Should have...
Relationship Manager , Sponsor Relations The Sponsor Relations department manages all of Commonwealth's relationships with our industry product partners. Our Sponsor Relations...
Description The Buy-In group functions in a highly regulated and time sensitive environment. Members are responsible for making sure the firm is compliant with SEA Rules 204,...
FINRA supervision of complex transactions including annuities for elderly customers, annuities in retirement accounts, mutual fund breakpoints, switches, fixed income and equities...
The Compliance Analyst will review activities of registered representatives and OSJs to identify and prevent potential regulatory violations, as well as monitor and evaluate...
Assistant Regulatory Counsel & Compliance Officer - New York A global asset firm has retained Major, Lindsey & Africa on an exclusive basis to conduct a search for an Assistant...
Investment Banking Associate (New York) Stifel is looking for an Associate level candidate to join its Diversified Industrials Banking Team in New York. This person will be an...
Job Requisition Number: 43431 Bloomberg Tradebook's Compliance team is looking for an experienced Compliance Officer. The ideal candidate will have compliance experience at a...
Job Description - Sr. Counsel I, Government & Regulatory Enforcement For over 150 years, PNC has grown into one of America's most respected banks, because we're committed to...
Part Time : No Description About The Company Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions. With a strong focus on...
Ernst & Young's Transaction Advisory Services (TAS) practice offers companies an array of professional services around the transactions. Our Restructuring Advisory Services team...
SUMMARY OF RESPONSIBILITIES Under moderate supervision this position works to facilitate the compliance with and conformance to Federal, State and local regulations and ordinances...
Responsibilities: Achieve sales objectives of assigned territory by promoting and selling our mutual fund and related products through professional sales techniques, product...
Major domestic and international Law firm is seeking a White Collar Crime focused Associate Attorney with 2-5 years of experience (2009 to 2012 grads only) to join its New York...
Summary: The VP, Investment Consultant is responsible for managing all retail sales activities within the designated region. This position promotes and wholesales Calamos mutual...
About The Company Lincoln Financial Group is a Fortune 500 company offering a diverse range of financial services and solutions. With a strong focus on four core business areas -...
Send Resume to 63938@accuick.com Our client is currently seeking an Investment Management Operations Analyst This is a 10 month Contract position, with a possibility to extend Our...
STOCKBROKERS AND TRAINEES 168 YEAR OLD FINRA AND SIPC MEMEBER FIRM We are seeking highly motivated and dynamic individuals for immediate entry into Series 7 program - Sponsorship...
Job Description Job Description & Benefits Farmers Group, Inc. was founded in 1928, and has since grown to be the countrys third-largest home and auto carrier as well as the top...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Lead Systems Administrator/Engineer opening in Rockville, MD. To be considered...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Lead Systems Administrator/Engineer opening in Rockville, MD. To be considered...
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Technology Supervisor opening in Rockville, MD. To be considered for this...
We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Technology Supervisor opening in Rockville, MD. To be considered for this...
We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Compliance Examiner opening in Atlanta, GA. To be considered for this opening,...
We Work to Protect Investors. Join our Team. The Financial Industry Regulatory Authority (FINRA) is seeking a well-qualified individual for our Manager - Billing Services opening...
Description * The candidate will be tasked with the responsibility of screening electronic communications for a variety of businesses within the firm. * The Analyst reviews...
PURPOSE: Monitor electronic communications to ensure compliance with company policy, SEC and FINRA rules and regulations; Provide support for the build-out of the surveillance...
Basic Qualifications 5+ years related industry experience. Minimum Qualifications Experience supporting Fixed Income and Equity Sales & Trading lines of business. Experience...
Kforce has a client seeking a BSA Compliance Officer in New York, New York (NY). Responsibilities: * Responsible for actively managing regulatory change and providing relevant...
Job Role: Business Analyst Location:New York City Duration: Permanent Job Description: BA with Equities - Should have worked with Cash Equities products - Must have good...
Qualifications *2-5 years of relevant experience required. *Bachelors in Accounting, Financial Services or a related field. *MBA and CFA strongly preferred. *FINRA Series 7 & 63...
This position reviews and supervises Private Client Services (PCS) investment trades and account applications for client suitability and ensure compliance with Financial Industry...
This position reviews and supervises Private Client Services (PCS) investment trades and account applications for client suitability and ensure compliance with Financial Industry...
The Compliance Analyst plays a critical role in helping the firm fulfill our regulatory obligations by conducting testing of broker-dealer written supervisory procedures (WSPs).
OfficeTeam is looking for a Income Sales & Trading Associate. This Income Sales & Trading Associate will be handling all aspects of Trades, assist staff, maintain and update...
Tim Clairmont is an Investment Adviser Representative of, and offers Securities and Investment Advisory Services through Woodbury Financial Services, Inc., Member FINRA, SIPC and...
Stout Risius Ross (SRR) is a financial advisory firm that specializes in Investment Banking, Valuation & Financial Opinions, and Dispute Advisory & Forensic Services. SRR's...
Summary This position will have a variety of regulatory responsibilities in connection with our proprietary mutual fund, alternative strategies offerings and marketing initiatives...
Job Title: Senior Manager - Database Administration Job ID: 103863 Job Location: Omaha, Nebraska Employment Type: Full-Time Contract Type: Regular Manager Level: Senior Manager A...
Job Description: A top broker-dealer in Washington, DC is seeking an Associate General Counsel with 4-10 years experience in securities and broker-dealer issues. Responsibilities...
Job Title : Business Analyst Location : NYC, NY Duration : Fulltime Permanent Job description: Should have worked with Cash Equities products Must have good understanding of the...
Description The BuyIn group functions in a highly regulated and time sensitive environment. Members are responsible for making sure the firm is compliant with SEA Rules 204, FINRA...