EMPLOYMENT TUESDAY at BrokeAndBroker.com

May 26, 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 - Wayne County Michigan Area

    American International Group

     - Detroit, 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 Planning Advisor

    American International Group

     - Atlanta, GA

    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 - Ft Myers

    American International Group

     - Fort Myers, FL

    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
     
  • Regional Vice President

    American International Group

     - Indianapolis, IN

    Position Description Regional Vice President - MId America Identify, develop, and implement strategies for increasing revenue growth and profitability within a defined territory.

    4 days ago from American International Group
     
  • Regional Life Specialist, Insured Solutions Group-Northeast

    American International Group

     - Hartford, CT

    Position Description Regional Life Specialist- Insured Solutions Group Advisor Group Channel The Regional Life Specialist (RLS) for Life Sales is the central resource and...

    4 days ago from American International Group
     
  • Regional Life Specialist, Insured Solutions Group- Northern Midwest

    American International Group

     - Chicago, IL

    Position Description Regional Life Specialist- Insured Solutions Group Advisor Group Channel The Regional Life Specialist (RLS) for Life Sales is the central resource and...

    4 days ago from American International Group
     
  • Operations Supervisor

    American International Group

     - Phoenix, AZ

    Position Description Responsible for supervising a team of eight and working with team members at sister Broker Dealers. Monitor the workflow and day to day operations to ensure...

    4 days ago from American International Group
     
  • Financial Advisor

    American International Group

     - Danville, VA

    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 - Monmouth County

    American International Group

     - Morristown, NJ

    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
     
  • Licensed Internal Wholesaler

    American International Group

     - Jersey City, NJ

    Position Description SunAmerica Asset Management is one of the nation's leading producers and distributors of mutual funds and asset management services. We manage and/or...

    4 days ago from American International Group
     
  • Financial Advisor - Hudson County

    American International Group

     - Jersey City, NJ

    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 - Morris County

    American International Group

     - Morristown, NJ

    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 - Overland Park, Kansas

    American International Group

     - Scottsdale, AZ

    Position Description Location: Overland Park, Kansas Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering...

    4 days ago from American International Group
     
  • Financial Advisor - Nassau County NY Territory

    American International Group

     - Mineola, NY

    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
     
  • Licensing Specialist - Sun America

    American International Group

     - Amarillo, TX

    Position Description As a Licensing Specialist on the Licensing team you will be responsible for appointing agents and broker/dealers within the 50 states so they may sell annuity...

    4 days ago from American International Group
     
  • Financial Advisor - Camden County New Jersey Territory

    American International Group

     - Cherry Hill, NJ

    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 - St. Louis, MO

    American International Group

     - Fayetteville, NC

    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 - Wayne Bergen County

    American International Group

     - Wayne, NJ

    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
     
  • Director Internal Sales

    American International Group

     - Houston, TX

    Position Description Director Internal Sales- Houston The Director of Internal Sales purpose is to Supervise, Train and Coach Internal Wholesalers & Team Leaders, support External...

    4 days ago from American International Group
     
  • Financial Advisor - Northeast VT Territory

    American International Group

     - St Johnsbury, VT

    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
     
  • Sales Training Manager

    American International Group

     - Houston, TX

    Position Description This is an excellent position for someone looking for an opportunity to be part of an expanding Sales Training Department. The Training Specialist position...

    4 days ago from American International Group
     
  • Financial Avisor- AIG Advisor Group

    American International Group

     - Houston, TX

    Position Description Experienced Financial Advisors Only Why Spend 80% of your time prospecting and only 20% of your time advising? What if you could spend 80% of your time...

    4 days ago from American International Group
     
  • Regional Supervision Manager

    American International Group

     - Oakdale, MN

    Position Description Responsible for the review of brokerage and directly-held transactions within the back-office systems; ensure those transactions are suitable based on stated...

    4 days ago from American International Group
     
  • Financial Advisor - Broward County

    American International Group

     - Fort Lauderdale, FL

    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
  • Associate Financial Consultant - Greater DC Area(0410-22877) 

    NEW

    Charles Schwab Corporation

     - Bethesda, MD

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

    3 days ago from Charles Schwab Corporation
     
  • Restricted Stock Sr. Specialist(20150515-1778) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    3 days ago from Charles Schwab Corporation
     
  • Restricted Stock Specialist(20150515-1777) 

    NEW

    Charles Schwab Corporation

     - Englewood, CO

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

    3 days ago from Charles Schwab Corporation
     
  • Restricted Stock Specialist(20150515-1776) 

    NEW

    Charles Schwab Corporation

     - Englewood, CO

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

    3 days ago from Charles Schwab Corporation
     
  • Client Service Specialist - Alexandria, VA(20150521-1851) 

    NEW

    Charles Schwab Corporation

     - Alexandria, VA

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

    3 days ago from Charles Schwab Corporation
     
  • Senior Manager, Communications Compliance(20150518-1795) 

    NEW

    Charles Schwab Corporation

     - Austin, TX

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

    3 days ago from Charles Schwab Corporation
     
  • Cashiering Team Lead(20150515-1771) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

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

    3 days ago from Charles Schwab Corporation
     
  • Sales Director, Managed Account and Alternative Investment(20150428-1563)

    Charles Schwab Corporation

     - Chicago, IL

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

    4 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Pleasanton, CA(20150521-1849)

    Charles Schwab Corporation

     - Pleasanton, CA

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

    4 days ago from Charles Schwab Corporation
     
  • Internal Sales Representative - Charles Schwab Investment Management(20150511-1685)

    Charles Schwab Corporation

     - Denver, CO

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

    4 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant- Stockton, CA(20150518-1813)

    Charles Schwab Corporation

     - Stockton, CA

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

    4 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant- Oakland, CA (Sourcing Req)(0521-23591)

    Charles Schwab Corporation

     - Oakland, CA

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

    4 days ago from Charles Schwab Corporation
     
  • Client Service Specialist - Cherry Creek, CO(20150518-1798)

    Charles Schwab Corporation

     - Cherry Creek, CO

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

    4 days ago from Charles Schwab Corporation
     
  • Regional Support Specialist - Advisor Services (South Central Region)(0520-23587)

    Charles Schwab Corporation

     - Plano, TX

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

    5 days ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Cincinnati, OH(20150518-1797)

    Charles Schwab Corporation

     - Cincinnati, OH

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

    5 days ago from Charles Schwab Corporation
     
  • Sr. Relationship Manager, Advisor Services - Southern Region(0518-23531)

    Charles Schwab Corporation

     - Atlanta, GA

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

    5 days ago from Charles Schwab Corporation
     
  • Financial Consultant Assistant - Paramus, NJ(20150508-1668)

    Charles Schwab Corporation

     - Paramus, NJ

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

    5 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Colorado Springs, CO(20150518-1800)

    Charles Schwab Corporation

     - Colorado Springs, CO

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

    5 days ago from Charles Schwab Corporation
     
  • Client Service Specialist - Franklin, TN(20150518-1815)

    Charles Schwab Corporation

     - Franklin, TN

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

    5 days ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Seal Beach, CA(20150518-1793)

    Charles Schwab Corporation

     - Seal Beach, CA

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

    6 days ago from Charles Schwab Corporation
     
  • Vice President, Financial Consultant - Salt Lake City, UT(20150518-1803)

    Charles Schwab Corporation

     - Salt Lake City, UT

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

    6 days ago from Charles Schwab Corporation
     
  • Sr. Relationship Manager, Advisor Services - Chicago Metro Region(0518-23530)

    Charles Schwab Corporation

     - Chicago, IL

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

    6 days ago from Charles Schwab Corporation
     
  • Manager, Risk Analysis(20150512-1699)

    Charles Schwab Corporation

     - Phoenix, AZ

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

    7 days ago from Charles Schwab Corporation
     
  • Associate Financial Consultant - Kenilworth, IL(1211-21165)

    Charles Schwab Corporation

     - Kenilworth, IL

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

    7 days ago from Charles Schwab Corporation
     
  • Client Service Specialist Ops Manager- Richfield, OH(20150503-1621)

    Charles Schwab Corporation

     - Dayton, OH

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

    7 days ago from Charles Schwab Corporation
  • Private Client Service Specialist-Sales Support - Chase Wealth Management

    JPMorgan Chase

     - Columbus, OH

    The Chase Private Client (CPC) Service Specialist is responsible for delivering a superior service as we assist our advisors with the sales of bank managed products on the private...

    4 days ago from JPMorgan Chase & Co
     
  • Asset Management Private Bank Latin America Investment Team Lead HNW/Mexico

    JPMorgan Chase

     - New York City, NY

    JP Morgan Chase & Co. (NYSE: JPM) is a leading global financial services firm with assets of more than %242 trillion and operations in more than 60 countries. We serve millions of...

    4 days ago from JPMorgan Chase & Co
     
  • Asset Management - Private Bank - Investment Specialist - VP - Emerging High Net Worth

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Private Bank has been helping the world's wealthiest individuals, families, foundations, and endowments grow, manage, and sustain their wealth through personalized,...

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

    JPMorgan Chase

     - Columbus, OH

    Chase Private Client (CPC) is an exclusive business within Chase that caters to affluent customers. CPC is one of the firm's key growth priorities over the next few years. CPC is...

    4 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Registration Advisory - Associate

    JPMorgan Chase

     - Columbus, OH

    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...

    4 days ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor - Chase Wealth Management - Lompoc, CA and Surrounding Area

    JPMorgan Chase

     - Santa Maria, 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
     
  • Asset Management, Client Service Associate, Private Banking

    JPMorgan Chase

     - Chicago, IL

    J.P. Morgan 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...

    5 days ago from JPMorgan Chase & Co
     
  • CIB - Equity Derivatives Hedge Fund Sales - Vice President -

    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 most...

    5 days ago from JPMorgan Chase & Co
     
  • Asset Management - Private Bank Investment Specialist - HNW Executive Wealth Group

    JPMorgan Chase

     - New York City, NY

    J.P. Morgan Private Bank Investment Specialist J.P. Morgan is a global leader in asset and wealth management services. We serve four distinct client groups through two businesses:...

    5 days ago from JPMorgan Chase & Co
     
  • Asset Management Transaction Processing Manager - Associate

    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
     
  • Chase Wealth Management - Financial Advisor - Poland, OH (Poland)

    JPMorgan Chase

     - Poland, OH

    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 Associate - Bay Ridge

    JPMorgan Chase

     - Brooklyn, NY

    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...

    5 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Salt Lake City

    JPMorgan Chase

     - Bountiful, UT

    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
     
  • Anticipated Financial Advisor - Chase Wealth Management

    JPMorgan Chase

     - Grand Rapids, 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...

    5 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management

    JPMorgan Chase

     - Wenatchee, WA

    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
     
  • Corporate Compliance - Bank Discretionary Investment Management, Global Wealth Management - Executive Director

    JPMorgan Chase

     - New York City, NY

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

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

    JPMorgan Chase

     - Monrovia, 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...

    7 days ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate - Lexington, KY (Zandale)

    JPMorgan Chase

     - Lexington, KY

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

    7 days ago from JPMorgan Chase & Co
     
  • Anticipated Private Client Advisor - Chase Wealth Management - Lakewood, CA (Del Amo)

    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...

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

    7 days ago from JPMorgan Chase & Co
     
  • Financial Advisor 

    NEW

    Multinational Spanish Banking Group

     - Turlock, CA

    Responsibilities Provide financial advice and counseling to customers and prospects through the sale of mutual funds, government, municipal and corporate bonds, fixed and variable...

    22 hours ago from IvyExec
     
  • Financial Advisor 

    NEW

    Major Mutual Fund Investment Management Company

     - Valley Forge, PA

    Your Primary Duties and Responsibilities: Develop a thorough understanding of each clients financial situation in order to create and deliver a suitable strategy based upon...

    22 hours ago from IvyExec
     
  • Financial Advisor 

    NEW

    First Command Financial Services

     - Santa Maria, 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...

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

    Bank of the West

     - Aurora, CO

    What sets Bank of the West apart from other banks is our team members-they embody the optimistic spirit of the West. There is a spirit here that drives us to do more. Our team of...

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

    American International Group

     - Danville, VA

    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

    BMO

     - Chicago, IL

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...

    4 days ago from Professional Diversity Network
     
  • Financial Advisor

    BMO

     - Kokomo, IN

    Premier Financial Advisor works in collaboration with the Premier Banker, Regional Market Leader and other team members to ensure the comprehensive delivery of Premier Services'...

    4 days ago from IHispano
     
  • Financial Advisor

    BB&T

     - Rockville, MD

    Auto req ID 32777BR Posting Title Financial Advisor Business Unit Scott & Stringfellow Group Address Rockville, MD - 9401 Key West Avenue Language Fluency English...

    4 days ago from IHispano
     
  • Financial Advisor

    Leading Financial Services Firm

     - Wyomissing, PA

    Sr. Wealth Advisor This firm takes great pride in the fact that they have one of the highest client retention rates in the industry with over 95% of their clients remaining with...

    4 days ago from IvyExec
     
  • Financial Advisor

    NASA Federal Credit Union

     - Upper Marlboro, 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

    BB&T

     - Greenville, NC

    Essential Duties and Responsibilities: The following is a summary of the essential functions for this job. Other Duties may be performed, both major and minor, which are not...

    5 days ago from BB&T Corp
     
  • Financial Advisor

    AXA Advisors

     - Oklahoma City, OK

    Financial Advisor- Entry Level or Experienced Description AXA Advisors is a leader in helping individuals and businesses address their financial goals through financial...

    6 days ago from CareerRookie.com
     
  • Financial Advisor

    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...

    7 days ago from Hancock Bank
     
  • Financial Advisor

    AIG Financial Advisors

     - Sarasota, FL

    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.

    7 days ago from BrokerHunter.com
  • Financial Firm Service Compliance Requires Series 7, 24 and/or 65 

    NEW

    Green Financial Resources

     - Duluth, GA

    investment products and financial industry compliance regulations is desired. Attention ... issues; and assisting with broker/dealer and FINRA/SEC audits; amongst other...

    1 hour ago from JOBS Employment Board
     
  • PART TIME OPERATIONS and COMPLIANCE ASSOCIATE 

    NEW

    Davis Capital Advisors

     - New York, NY

    proposals using Excel and Power Point;Compliance Responsibilities include:-Maintain ... the firm's compliancewith all FINRA, MSRB, SEC securities and exchange...

    1 hour ago from JOBS Employment Board
     
  • Business Analyst/ Model Development & Management 

    NEW
    New York City, NY

    personnel processes, audit/compliance, premises, and coordination of certain projects, ... Requires a minimum ofFINRA Series 7 and Series 66 licensing. Working knowledge...

    11 hours ago from IvyExec
     
  • Private Banking Wealth Management Lawyer 

    NEW

    Multinational Financial Services Holding Company

     - New York City, NY

    Act, the '33 and ‘34 Acts as well as the FINRA rules and regulations related to the ... and work closely with the Chief Compliance Officer and Compliance Department for...

    11 hours ago from IvyExec
     
  • Corporate Compliance Fixed Income Compliance Vice President 

    NEW

    JPMorgan - Finance Industry

     - New York City, NY

    Compliance Department is seeking an experienced compliance officer or attorney to join its ... swap dealer CCO and other members of the compliance department...

    17 hours ago from VelvetJobs
     
  • Compliance Marketing Review Officer 

    NEW

    Leading Global Financial Services Firm

     - New York City, NY

    and separately managed accounts to assess compliance with FINRA and SEC rules and ... skills; -Extensive knowledge of FINRA and SEC regulations that addressing...

    22 hours ago from IvyExec
     
  • Compliance Coverage Officer - FID FX and Emerging Markets 

    NEW

    Leading Global Financial Services Firm

     - New York City, NY

    Compliance Department manages a Firmwide Compliance Risk Management program, including ... · Knowledge of regulatory compliance including FINRA, SEC and CFTC regulations;...

    22 hours ago from IvyExec
     
  • Complex Risk Officer 

    NEW

    Leading Global Financial Services Firm

     - Ridgewood, NJ

    as related to risk and compliance · Together with the Senior Complex Risk Officer, ... FINRA and Firm CompliancePolicies and Procedures · Effective written and verbal...

    22 hours ago from IvyExec
     
  • Compliance Officer - Investments 

    NEW

    Global Provider of Financial Consulting Services

     - Philadelphia, PA

    The Compliance Officer handles substantive compliance responsibilities such as the ... The Compliance Officerwill take a lead role in the firms compliance program under Rules 3...

    22 hours ago from IvyExec
     
  • Compliance Officer â?? FRC Advisory 

    NEW

    Private Wealth & Asset Management Firm

     - New York City, NY

    services company, seeks a Compliance Officer to support the IB Americas FRC (FX, ... Advisory - responsible for providing compliance coverage to the UBS Investment...

    22 hours ago from IvyExec
     
  • Wealth Associate Relationship Manager 

    NEW

    BB&T

     - Dallas, TX

    Manager is a developmental position for officer level candidates desiring a career in ... clients. 6. Work within the existing audit, compliance, and regulatory framework in order...

    1 day ago from A Mighty River
     
  • Investment Services Financial Advisor 

    NEW

    Homestreet Bank

     - Pasadena, CA

    Authority \(FINRA\), the Federal Deposit Insurance Corporation \(FDIC\) and state ... In addition, we ensurecompliance with federal, state and local laws governing nondiscrimi...

    1 day ago from A Mighty River
     
  • Senior Compliance Officer - Affluent, High Net Worth & Specialty Services 

    NEW

    Major International Bank

     - Puerto Rico

    Bilingual a plus (English, Spanish and/or Portuguese preferred) FINRA securities Licenses ... understanding of bank and/or brokerage compliance and control issues/risks Excellent...

    1 day ago from IvyExec
     
  • Compliance Officer- Fixed Income 

    NEW

    Major International Bank

     - New York City, NY

    The position is for a Fixed Income Compliance Officer within Institutional Client Group ... approvals and interpretation of internal compliance policies; Draft compliance...

    1 day ago from IvyExec
     
  • Chief Compliance Officer 

    NEW

    Investment Advisory Firm

     - New York City, NY

    Maintain Compliance Manual and Code of Ethics and enforcing policies of FINRA Broker ... complianceprocedures. Conducting annual compliance meeting with employees and updating...

    1 day ago from IvyExec
     
  • Securities Licensing Specialist 

    NEW

    RBC

     - Minneapolis, MN

    Reports To: Registration Manager Department: Compliance Licensing and Registration PURPOSE ... who join RBC from other firms. Work with Compliance Officers to amend employee licensing...

    1 day ago from RBC
     
  • Vp Premier Relationship Manager 

    NEW

    HSBC - Finance Industry

     - Temple City, CA

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

    3 days ago from VelvetJobs
     
  • Director of Anti-Money Laundering 

    NEW

    Intl FCStone

     - Chicago, IL

    tools. • Assist Chief Compliance Officers for the various entities with their ... management on AML complianceissues • Identifies potential areas of compliance...

    3 days ago from INTL FCStone Inc
     
  • Private Wealth Management - Complex Risk Officer 

    NEW

    Leading Global Financial Services Firm

     - Miami, FL

    The Complex Risk Officer is responsible for a wide variety of supervisory, compliance, and ... - Knowledge of SEC,FINRA and Firm Compliance Policies and Procedures - Effective...

    3 days ago from IvyExec
     
  • COMPLIANCE EXAMINER 

    NEW

    Stifel Nicolaus

     - St Louis, MO

    Compliance Officer or Chief Compliance Officer. Provides input to guidelines for ... Compliance Officer or ChiefCompliance Officer. Required Skills KNOWLEDGE, SKILLS AND...

    3 days ago from Stifel Nicolaus
     
  • Broker-Dealer Chief Compliance Officer 

    NEW

    Ameritas

     - Bethesda, MD

    responsible broker-dealer compliance experience either as a compliance ... compliance officer. • Investment advisory experience. • Project management...

    3 days ago from Ameritas
     
  • Compliance Consultant 3 

    NEW

    Wells Fargo

     - Charlotte, NC

    Location: Charlotte,NC Qualifications: WFS-Compliance This Compliance Officer will ... group partners. More specifically, this Compliance Officer will (1) assist with...

    3 days ago from BrokerHunter.com
     
  • Senior Compliance Analyst Data Mining Analytics 

    NEW

    Citi

     - Long Island City, NY

    FINRA and Federal Regulations. As part of Compliance Testing, the candidate will work ... controls, assurance/audit, financial, and/or compliance Primary Location: United...

    3 days ago from Citi
     
  • Business Analyst

    Hired By Matrix

     - Newark, NJ

    * Demonstrated knowledge of FINRA and SEC licensing and registration requirements, U4/U5 p ... * Prior experience in a Regulatory or Compliance role is highly desirable. Approx.

    4 days ago from Women's Career Channel
     
  • Corporate Compliance - Registration Advisory - Associate

    JPMorgan Chase

     - Columbus, OH

    Management and Chase Private Client. The Sr. Compliance Officer will be responsible for ... investment adviser registration, compliance or legal functions or other equivalent...

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

    HSBC

     - Temple City, CA

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

    4 days ago from HSBC
     
  • Complex Risk Officer

    Morgan Stanley

     - Boston, MA

    as related to risk and compliance · Together with the Senior Complex Risk Officer, ... FINRA and Firm CompliancePolicies and Procedures · Effective written and verbal...

    4 days ago from Morgan Stanley
     
  • Deputy Chief Compliance Officer -Investment Advisory Compliance

    American International Group

     - Atlanta, GA

    necessary. • Responding to IA compliance-related inquiries from sales representatives, ... Advanced degree (JD or MBA) and/or compliance certifications preferred...

    4 days ago from American International Group
     
  • Sr Compliance Analyst

    American International Group

     - Phoenix, AZ

    the BD Chief Compliance Officer, Deputy CCO, Legal, Field Supervision, and internal ... • Assist in the monitoring of Company compliance with state/federal law and rules and regu...

    4 days ago from American International Group
     
  • AML Analyst

    American International Group

     - Atlanta, GA

    General Compliance Knowledge - Must have extensive knowledge of FINRA, SEC and ... manual, FINRA Notices to Members, Compliance notices and other publications...

    4 days ago from American International Group
     
  • Private Bank Client Service Associate

    Umpqua Bank

     - Portland, OR

    all Bank policies and procedures, compliance regulations, and completes all ... • Maintain all FINRA continuing education requirements and participate in Broker/Dealer tr...

    4 days ago from Umpqua Bank
     
  • PNCI - Regional Supervisory Officer

    PNC

     - Wilmington, DE

    REGIONAL SUPERVISORY OFFICER The PNC Investments Regional Supervisory Officer (RSO) will ... REQUIREMENTS: FINRA Series 7 and 66 or (63 & 65) licenses, also FINRA Series 8 or (9 & 10)...

    4 days ago from PNC
     
  • PNCI - Central Review Principal

    PNC

     - Cleveland, OH

    6 licensed representatives meets PNCI Compliance and governing body regulations and ... industry, to include knowledge of compliance regulations, investment market, securities...

    4 days ago from PNC
     
  • Head of Compliance Delivery & Execution Team - Director

    Barclays

     - New York, NY

    twelve distinct functions: * Employee Compliance * Control Group * Compliance Risk ... Change Oversight *Compliance Policy * Compliance Learning Group * Global Functions...

    4 days ago from Professional Diversity Network
     
  • Trust Investment and Registered Investment Adviser Senior Counsel

    BMO

     - Chicago, IL

    closely with the bank and RIA firms, chief compliance officers, and risk management ... of the Investment Advisers Act of 1940 and FINRA rules is required. Candidates with...

    4 days ago from Professional Diversity Network
     
  • Senior Compliance Officer-Trading Products

    BMO

     - Chicago, IL

    Mandate Senior US Compliance Officer responsible for implementing the U.S Monitoring & ... for development and maintenance of Compliance Monitoring &Testing oversight...

    4 days ago from Professional Diversity Network
     
  • Investment Services Financial Advisor

    Homestreet Bank

     - Glendora, CA

    of Financial Industry Regulatory Authority \(FINRA\), the Federal Deposit Insurance ... veteran status\. In addition, we ensure compliance with federal, state and local laws...

    4 days ago from A Mighty River
     
  • Compliance Associate

    Cleveland Research Company

     - Cleveland, OH

    for the firm by assisting the Chief Compliance Officer in identifying and ... compliance reporting requirements Review FINRA notices and relevant industry news,...

    4 days ago from Cleveland Research Company
     
  • Marketplace Lending Risk Officer

    Prestigious Investment Banking Group

     - New York City, NY

    daily funding/purchase activity to ensure compliance with established credit or market ... mandates, and regulations of the following: FINRA, Federal Housing Finance Agency,...

    4 days ago from IvyExec
     
  • Chief Compliance Officer - Retirement Products

    Compliance Search Group

     - Springfield, MA

    Chief Compliance Officer- Retirement Products A Financial services firm seeks a Chief ... ranging from staff levels to Chief Compliance Officers with the nation's...

    5 days ago from The Ladders
     
  • Compliance Consultant

    Compliance Search Group

     - Dallas, TX

    Compliance Consultant Description: A Global advisory firm seeks a Compliance Consultant ... for compliance with the various state, FINRA, and federal securities rules and...

    5 days ago from The Ladders
     
  • Transfer Agency Anti Money Laundering

    Compliance Search Group

     - Chicago, IL

    • Work with Compliance to support annual compliance meeting Qualifications • 4-6 ... in TA Risk & ComplianceSpecialist role • FINRA Series 6, 23, and 63 Registrations...

    5 days ago from The Ladders
     
  • Risk, Compliance Anti - Money Laundering Specialist

    Compliance Search Group

     - Chicago, IL

    Risk, Compliance Anti- Money Laundering Specialist A Financial services firm seeks a Risk ... ranging from staff levels to Chief Compliance Officers with the nation's...

    5 days ago from The Ladders
     
  • US Macro Advisory Compliance - Director

    Barclays

     - New York City, NY

    The US Macro Compliance Advisory Team currently consists of a manager and four Compliance ... by theCompliance teams e.g.: Compliance Verification. Check work, surveillance...

    5 days ago from Barclays
     
  • Futures and Derivatives Compliance Officer

    Interactive Brokers

     - Washington, DC

    quality talent. The Futures and Derivatives Compliance Officer position requires ... or appropriately registeredcompliance officer (i.e., at least a Series 3...

    5 days ago from Interactive Brokers
     
  • New Accounts Specialist

    Interactive Brokers

     - Chicago, IL

    service focus. Assist the Compliance Officer with the approval process of new ... (SQL) is helpful Registrations:FINRA Series 7, 55, 63 a plus Attributes:...

    5 days ago from Interactive Brokers
     
  • Chief Compliance Officer-Corporate Areas

    BMO Financial Group

     - Chicago, IL

    The Chief Compliance Officer, U.S. Corporate Areas oversees compliance activities in U.S. ... management or Business Unit Compliance Officer (BUCO). Continuously evaluate established...

    5 days ago from BMO Financial Group
     
  • Chief Compliance Officer-Corporate Areas

    BMO Harris Bank

     - Chicago, IL

    The Chief Compliance Officer, U.S. Corporate Areas oversees compliance activities in U.S. ... management or Business Unit Compliance Officer (BUCO). Continuously evaluate established...

    5 days ago from BMO Harris Bank
     
  • Complex Risk Officer

    Morgan Stanley - Finance Industry

     - Washington, DC

    Complex Risk Officer, the Complex Risk Officer has accountability for maintaining a ... to risk and compliance • Together with the Senior Complex Risk Officer, facilitates the...

    5 days ago from VelvetJobs
     
  • Corporate Compliance Private Funds Compliance Officer Vice President

    JPMorgan - Finance Industry

     - New York City, NY

    Private Funds Compliance-Executive Director/Vice President JPMorgan Chase & Co ... to fill a position as a Private Funds Compliance Officer in JPMorgan Asset Management...

    5 days ago from VelvetJobs
  • Private Banking Wealth Management Lawyer 

    NEW

    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...

    11 hours ago from IvyExec
     
  • Assistant General Counsel- Municipal Securities 

    NEW

    Major International Bank

     - New York City, NY

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

    1 day ago from IvyExec
     
  • Municipal Securities/Capital Markets Attorney 

    NEW

    UBS Financial Services

     - Weehawken, NJ

    securities/capital markets lawyer to counsel the municipal retail sales, ... skills experience working with broker-dealer compliance departments and have some...

    2 days ago from job.com
     
  • 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...

    3 days ago from IHispano
     
  • Senior Counsel 

    NEW

    SVB

     - California

    products issues * Managing outside counsel Skills and Requirements: * 6-12+ ... The company also offers funds management, broker-dealer transactions and asset...

    3 days ago from A Mighty River
     
  • Compliance Examiner - Member Regulation, Membership Application Program 

    NEW

    Finra

     - New York, NY

    membership applications, risk areas of broker-dealers and allegations of wrong-doing ... written and oral reports to broker-dealer executives, consultants/ counsel and...

    3 days ago from FINRA
     
  • Securities Financing Attorney - Legal, PB 

    NEW

    Goldman Sachs

     - New York City, NY

    legal team. Relevant experience in broker-dealer regulation and securities financing ... • Substantive knowledge of securities regulation (including broker-dealer regulation) and...

    3 days ago from OneWire
     
  • Counsel - Investment Adviser's Act

    Ameriprise Financial

     - 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...

    4 days ago from Professional Diversity Network
     
  • Associate General Counsel (Bank)

    Scottrade

     - St Louis, MO

    Scottrade, Inc. has a Associate General Counsel (Bank)position available inSt. Louis, ... credible within the organization and in the broker-dealer community. * Excellent...

    4 days ago from Professional Diversity Network
     
  • 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...

    4 days ago from UBS
     
  • Corporate Counsel

    MetLife

     - New Jersey

    and FINRA's institutional broker dealer rules. Responsibilities include the ... and FINRA's institutional brokerdealer rules. Able to work proactively and...

    4 days ago from MetLife
     
  • Senior level real estate attorney

    Oi Partners - Gateway International

     - Morristown, NJ

    practice areas it provides exceptional legal counsel that reflects extensive expertise, ... position will address client needs in broker-dealer, commercial, and individual private...

    4 days ago from OI Partners - Gateway International
     
  • Corporate Counsel

    Loyal3

     - San Francisco, CA

    department, including advice on broker-dealer regulations and development of corporate ... Research corporate, securities and broker-dealer laws and regulations, and other...

    4 days ago from LOYAL3
     
  • Associate General Counsel (Securities Litigation and Enforcement, Washington, D.C.)

    Interactive Brokers

     - Washington, DC

    with experience in securities and broker-dealer issues to become a litigation-focused ... counsel) Coordinating with outside counsel on court actions involving the firm...

    5 days ago from Interactive Brokers
     
  • VP, Compliance - Technology and Operations

    Asian American Lawyers Association of Massachusetts (aalam)

     - Charlotte, NC

    the nation's largest independent broker/dealer and fourth largest broker/dealer with ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...

    5 days ago from The Asian American Lawyers Association...
     
  • Deputy Regional Chief Counsel, Enforcement

    Financial Industry Regulatory Authority

     - San Francisco, CA

    responsibility with Regional Chief Counsel working with Member Regulation ... with the employee) and to authorize their broker-dealers to provide FINRA with...

    5 days ago from A Mighty River
     
  • Associate General Counsel (Securities/Regulatory)

    Scottrade

     - St Louis, MO

    issues to Scottrade, Inc., a broker-dealer, and Scottrade Investment Management, ... by Scottrade, Inc., the firm'sbroker-dealer, and Scottrade Investment Management,...

    5 days ago from IHispano
     
  • Legal, PB and Securities Financing Attorney, Vice President

    Goldman Sachs Group

     - New York City, NY

    legal team. Relevant experience in broker-dealer regulation and securities financing ... • Substantive knowledge of securities regulation (including broker-dealer regulation) and...

    5 days ago from Goldman Sachs Group, Inc
     
  • Paralegal, Office of Liaison & Counsel

    Financial Industry Regulatory Authority (finra)

     - Washington, DC

    and staff in the Oversight Liaison & Counsel (OLC) and International groups. ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...

    6 days ago from Just Jobs
     
  • Associate General Counsel (Securities/Regulatory)

    Leading Financial Services Company

     - St Louis, MO

    services offered, Inc., the firm's broker-dealer, and Investment Management, the ... Minimum of ten years of experience in investment adviser and broker-dealer regulatory prac...

    6 days ago from IvyExec
     
  • Associate General Counsel (Bank)

    Leading Financial Services Company

     - St Louis, MO

    laws and regulations. Provide legal counsel to Scottrade Bank lending functions ... credible within the organization and in the broker-dealer community. Excellent...

    6 days ago from IvyExec
     
  • VP Corporate Counsel - Prior Experience Required

    Complistaff

     - Newark, NJ

    insurance and variable annuities; broker dealer counsel including FINRA rules, ... of FINRA rules, insurance laws governing broker dealers as well as life insurance...

    6 days ago from CompliStaff
     
  • Senior Counsel - Prior Experience Required

    Complistaff

     - Lake Mary, FL

    for substantive role in its Broker Dealer business. The successful candidate ... & regulatory matters for US & non US broker dealer. Negotiate & draft distribution...

    6 days ago from CompliStaff
     
  • Managing Director / Deputy General Counsel

    New York City, NY

    broker-dealers or FCMs, exchanges or clearinghouses. • Strong analytical, ... of broker, dealers, custodian banks and asset managers worldwide. Our Client is able to...

    6 days ago from IvyExec
     
  • Enforcement Counsel

    Finra

     - New York City, NY

    individual for our Enforcement Counsel opening in New York, NY . To be ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...

    7 days ago from Jofdav