EMPLOYMENT TUESDAY at BrokeAndBroker.com

June 2, 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
  • Associate Financial Consultant - Greater DC Area 

    NEW

    Charles Schwab Corporation

     - Columbia, MD

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

    1 hour ago from job.com
     
  • Sr. Team Manager, Operations - Asset Transfer Services 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    1 hour ago from job.com
     
  • New Accounts Operations Team Manager 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

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

    1 hour ago from job.com
     
  • Associate Financial Consulant 

    NEW

    Charles Schwab Corporation

     - Nashville, TN

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

    1 hour ago from job.com
     
  • Restricted Stock Specialist 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    1 hour ago from job.com
     
  • Fixed Income - Centralized Supervision Manager(0601-23798) 

    NEW

    Charles Schwab Corporation

     - Indianapolis, IN

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

    11 hours ago from Charles Schwab Corporation
     
  • Senior Manager Broker-Dealer Regulatory Reporting(20150528-1972) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    11 hours ago from Charles Schwab Corporation
     
  • VP, Advisory Custody & Trading(20150512-1707) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    16 hours ago from Charles Schwab Corporation
     
  • Account Solutions, Sr Specialist 

    NEW

    Charles Schwab Corporation

     - El Paso, TX

    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...

    18 hours ago from BrokerHunter.com
     
  • Client Specialist-Financial Planning 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    18 hours ago from BrokerHunter.com
     
  • Senior Team Manager, Trust Services 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    18 hours ago from BrokerHunter.com
     
  • Sr. Complex Account Specialist 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    18 hours ago from BrokerHunter.com
     
  • Operations Senior Team Manager 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    18 hours ago from BrokerHunter.com
     
  • Associate Financial Consultant - Orlando (Maitland) 

    NEW

    Charles Schwab Corporation

     - Orlando, FL

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

    18 hours ago from BrokerHunter.com
     
  • VP, Advisotry Custody & Trading 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    18 hours ago from BrokerHunter.com
     
  • Vice President, Financial Consultant - Northbrook, IL(20150522-1887) 

    NEW

    Charles Schwab Corporation

     - Northbrook, IL

    Northbrook - IL, BRILNR, 445 Skokie Blvd, 60062-2808 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny. We are driven by...

    21 hours ago from Charles Schwab Corporation
     
  • Trust Associate(0531-23774) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    1 day ago from Charles Schwab Corporation
     
  • Internal Sales Representative - Charles Schwab Investment Ma 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

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

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    1 day ago from job.com
     
  • Associate Financial Consultant - Greater DC Area 

    NEW

    Charles Schwab Corporation

     - Alexandria, VA

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

    2 days ago from job.com
     
  • Associate Financial Consultant 

    NEW

    Charles Schwab Corporation

     - Menlo Park, 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 clients goals with...

    2 days ago from job.com
     
  • Associate Financial Consultant- Oakland, CA (Sourcing Req) 

    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 clients goals with...

    2 days ago from job.com
     
  • Vice President, Financial Consultant - Vero Beach, FL(20150522-1892) 

    NEW

    Charles Schwab Corporation

     - Vero Beach, FL

    Vero Beach - FL, BRFLVO, 3485 Ocean Dr, 32963-1667 Christine S. Lane We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...

    2 days ago from Charles Schwab Corporation
     
  • Senior Team Manager, Trust Services(0528-23749) 

    NEW

    Charles Schwab Corporation

     - Lone Tree, CO

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

    2 days ago from Charles Schwab Corporation
     
  • Client Service Specialist - Barrington, IL(20150522-1886) 

    NEW

    Charles Schwab Corporation

     - Barrington, IL

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

    3 days ago from Charles Schwab Corporation
  • Anticipated Private Client Advisor - Chase Private Client 

    NEW

    JPMorgan Chase

     - Beachwood, 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...

    8 hours ago from JPMorgan Chase & Co
     
  • Anticipated Financial Advisor Associate - Chase Wealth Management 

    NEW

    JPMorgan Chase

     - Manhattan Beach, CA

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

    8 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client Service Associate 

    NEW

    JPMorgan Chase

     - Dallas, TX

    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...

    8 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate 

    NEW

    JPMorgan Chase

     - Tucson, AZ

    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...

    8 hours ago from JPMorgan Chase & Co
     
  • Chase Private Client Investment Associate (Investment Assistant) 

    NEW

    JPMorgan Chase

     - Miami, FL

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

    8 hours ago from JPMorgan Chase & Co
     
  • CIB Operations - Broker Dealer Merger - Program Manager - Executive Director 

    NEW

    JPMorgan Chase

     - Brooklyn, NY

    Head of a program to merger J.P. Morgan Securities LLC. And J.P. Morgan Clearing Corp. two broker dealer entities supporting businesses across JP Morgan Chase & Co. and head of...

    3 days ago from JPMorgan Chase & Co
     
  • Asset Management Latin America Private Bank Client Service Associate, New York (Portuguese Fluency Required) 

    NEW

    JPMorgan Chase

     - New York City, NY

    About JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include...

    3 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Branch Exams - Associate

    JPMorgan Chase

     - Houston, TX

    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 - Milwaukee Metro Area

    JPMorgan Chase

     - Brookfield, WI

    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

    JPMorgan Chase

     - Madison, WI

    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 - Downtown Chicago Area

    JPMorgan Chase

     - Chicago, IL

    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 Wealth Management - Frisco/Plano Area

    JPMorgan Chase

     - Plano, 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...

    4 days ago from JPMorgan Chase & Co
     
  • Asset Management GWM Operations Quality Control Analyst

    JPMorgan Chase

     - Newark, DE

    Our Business J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients include institutions,...

    4 days ago from JPMorgan Chase & Co
     
  • Financial Advisor - Chase Wealth Management -Sugar Land, Texas Area

    JPMorgan Chase

     - Sugar Land, 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
     
  • Financial Advisor - Chase Wealth Management -Odessa, Texas Area

    JPMorgan Chase

     - Odessa, 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
     
  • Private Client Advisor - Chase Wealth Management - Houston, Texas Area

    JPMorgan Chase

     - Houston, 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
     
  • Corporate Compliance - AML Surveillance - Vice President

    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...

    6 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - AML Surveillance - Associate

    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...

    6 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Surveillance Analyst - Fixed Income and Swaps Trade Surveillance - Associate

    JPMorgan Chase

     - Jersey City, NJ

    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...

    6 days ago from JPMorgan Chase & Co
     
  • Corporate Compliance - Fixed Income Compliance - Vice President

    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...

    6 days ago from JPMorgan Chase & Co
     
  • CIB F&BM- SPG Controller- External Reporting - LEC - Senior Associate

    JPMorgan Chase

     - New York City, NY

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

    6 days ago from JPMorgan Chase & Co
     
  • In-Store Personal Banker - Sierra Vista Fry's

    JPMorgan Chase

     - Sierra Vista, AZ

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

    6 days ago from JPMorgan Chase & Co
     
  • Chase Private Client - Private Client Advisor - Springboro, OH (Springboro)

    JPMorgan Chase

     - Springboro, OH

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

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

    JPMorgan Chase

     - Aventura, 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...

    6 days ago from JPMorgan Chase & Co
     
  • Asset Management Latin America Private Bank Client Service Associate

    JPMorgan Chase

     - New York City, NY

    {PS..0} About JP Morgan Asset Management J.P. Morgan Asset Management, with client assets of %242.4 trillion, is a global leader in investment and wealth management. Its clients...

    6 days ago from JPMorgan Chase & Co
  • Financial Advisor 

    NEW

    Equity Bank

     - Warrensburg, MO

    Financial Advisors Equity Financial Services Group (EFSG), a subsidiary of Equity Bank, is currently seeking a qualified Financial Advisor (FA) to join our rapidly expanding team...

    11 hours ago from Equity Bank
     
  • Financial Advisor 

    NEW

    BMO

     - Kokomo, IN

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

    22 hours ago from A Mighty River
     
  • Financial Advisor 

    NEW

    First Command Financial Services

     - Hagåtña, 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...

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

    NEW

    Northeast Planning Associates

     - Waltham, MA

    Job Description:Financial Advisor: We have an opportunity for a Financial Advisor who wants to be part of a growing firm.Initial Key Areas of Responsibility:With a strong focus on...

    3 days ago from JOBS Employment Board
     
  • Financial Advisor 

    NEW

    AIG Financial Advisors

     - Salt Lake City, UT

    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.

    3 days ago from BrokerHunter.com
     
  • Financial Advisor 

    NEW
     

    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,...

    3 days ago from AXA Advisors, LLC
     
  • Financial Advisor

    Kendal Capital Insurance

     - Maitland, FL

    Insurance and Wealth Management firm seeking individuals looking for a career in the financial services industry. The position consists of a 90 day, 20 hour a week internship.

    4 days ago from Internship.com
     
  • Financial Advisor

    Hancock Bank

     - East Baton Rouge Parish, LA

    JOB SUMMARY: Consults with clients and prospects to determine course(s) of action designed to help meet their financial and investment goals. ESSENTIAL DUTIES & RESPONSIBILITIES:...

    6 days ago from Hancock Bank
     
  • Financial Advisor

    American International Group

     - Fairbanks, AK

    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.

    6 days ago from American International Group
  • Compliance Consultant I PCG 

    NEW

    Raymond James

     - Tampa, FL

    with Chief Compliance Officer, Associate Compliance Directors, Compliance Managers and ... & Compliance* **Organization:** **RJFS Compliance* **Title:** *Compliance Consultant...

    1 hour ago from job.com
     
  • Compliance Analyst - Broker/Dealer 

    NEW

    Infinity Consulting Solutions

     - New York City, NY

    The Compliance Analyst Broker/Dealer will help evaluate the adequacy and effectiveness of ... Compliance OfficerThe Compliance Analyst Broker/Dealer will perform general compliance...

    4 hours ago from Infinity Consulting Solutions
     
  • Compliance Officer 

    NEW

    Interactive Brokers

     - Greenwich, CT

    Brokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures ... for high quality talent. TheCompliance Officer position requires familiarity with...

    8 hours ago from Interactive Brokers
     
  • Futures and Derivatives Compliance Officer 

    NEW

    Interactive Brokers

     - Washington, DC

    Brokers LLC is an SEC-registered broker-dealer and a CFTC-registered futures ... The Futures and DerivativesCompliance Officer position requires familiarity with...

    8 hours ago from Interactive Brokers
     
  • Compliance Assistant 

    NEW

    Interactive Brokers

     - Greenwich, CT

    and commodities business leader and broker-dealer (BD) / futures commission ... storage Reporting to ChiefCompliance Officer and In-house Counsel 2 years...

    8 hours ago from Interactive Brokers
     
  • VP Cluster Branch Manager 

    NEW

    HSBC

     - Bohemia, NY

    to maximized economic profit. Role as broker-dealer Registered Representative ... Business Compliance Officer, Area Compliance Officer or Local Compliance Officer, ensuring...

    9 hours ago from HSBC
     
  • VP Premier Relationship Manager 

    NEW

    HSBC

     - San Gabriel, CA

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

    9 hours ago from HSBC
     
  • OfficerCompliance AML Analyst 

    NEW

    Michael Page USA

     - Boston, MA

    in the banking, financial services, broker dealer or other related industry ... Laundering, Compliance, FIU, Corporate ComplianceCompliance Analyst, Financial...

    11 hours ago from Michael Page USA
     
  • Wealth Management BSA Analyst - Temp 

    NEW

    Mercantil Commercebank

     - Coral Gables, FL

    activity to the Wealth Management BSA/AML Compliance Officer. Understand complex ... Coordinate with the Wealth Management BSA/AML Compliance Officer, Account Officers, Regist...

    12 hours ago from Mercantil Commercebank
     
  • Wealth Management BSA Analyst II 

    NEW

    Mercantil Commercebank

     - Coral Gables, FL

    activity to the Wealth Management BSA/AML Compliance Officer. Understand complex ... Coordinate with the Wealth Management BSA/AML Compliance Officer, Account Officers, Regist...

    12 hours ago from Mercantil Commercebank
     
  • Compliance Officer for C&ORC Testing 

    NEW

    Private Wealth & Asset Management Firm

     - Nashville, TN

    compliance issues (e.g., securities laws and broker-dealer rules & regulations, prudential ... (Compliance Review Team) under the Global Compliance and Operational Risk Control (C&ORC)...

    12 hours ago from IvyExec
     
  • SVP Recruiting and Acquistion Strategy 

    NEW

    AIG

     - Atlanta, NY

    and drive traffic to the Advisor Group Broker Dealers. Position will partner with ... EVP of Recruiting Strategy and respective Broker Dealer Presidents to identify,...

    18 hours ago from InsuranceJobs.com
     
  • ISO 

    NEW

    Perennial Resources International

     - New York, NY

    would like a candidate to have either broker dealer experience or financial experience. ... NIST, Scripting, Linux, Security, Broker-DealerBroker Dealer, Financial,...

    1 day ago from Dice
     
  • Chief Compliance Officer 

    NEW

    LaSalle Investment Management

     - Chicago, IL

    business in the Americas, compliance officer of LaSalle Investment Management's ... with investment advisory and broker-dealer clients Provide legal review of and...

    2 days ago from A Mighty River
     
  • Manager, Product Delivery 

    NEW

    Broadridge

     - Needham, MA

    and technology-driven solutions for broker-dealers, banks, mutual funds, and ... our clients meet their regulatorycompliance needs. In addition, we provide financial...

    2 days ago from IHispano
     
  • Project Manager 

    NEW
    Philadelphia, PA

    in the development of project budgets in compliance with the companys financial ... following in the Financial Services Industry/Broker Dealers OR FINANCIAL ADVISORS:...

    2 days ago from IvyExec
     
  • Manager, Compliance 

    NEW

    Leading Provider of Insurance, Investments, and Retirement Products

     - Saint Petersburg, FL

    Oversee and prepare responses to regulatory examinations of the Broker/Dealer ... Oversee corporate audits and internal audits of the Broker/Dealer...

    2 days ago from IvyExec
     
  • Compliance Officer - AML Advisory CGMI Retail Broker Dealer 

    NEW

    Major International Bank

     - Jersey City, NJ

    and activities in support of the Retail Broker-Dealer. Key responsibilities: Review ... client due diligence Liaise with the Retail Broker-Dealer Business, Relationship...

    2 days ago from IvyExec
     
  • AVP Premier Relationship Manager 

    NEW

    HSBC - Finance Industry

     - Depew, NY

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

    2 days ago from VelvetJobs
     
  • Advisory Services Manager - Financial Services Office - Technology Solutions Delivery - Reg.Compliance 

    NEW

    Ernst Young

     - New York City, NY

    compliance functions specific to banking, broker-dealer, wealth management, and asset ... Mobile Enterprise Governance, Risk and Compliance Compliance analytics, metrics,...

    3 days ago from Ernst Young
     
  • RIA Compliance Officer 

    NEW

    Protective Life

     - Birmingham, AL

    Job Description: Title: Investment Advisory/Retail Compliance Officer ProEquities has an i ... The Investment Advisory/Retail Compliance Officer will assist the Investment Advisory Chie...

    3 days ago from Protective Life
     
  • Compliance Manager 

    NEW

    Eastridge Workforce Solutions

     - Newport Beach, CA

    support to Chief Compliance Officer, AVP of Compliance and Director of Compliance on ... years of experience in a RIA or Broker Dealer, preferredWorking knowledge of...

    3 days ago from JOBS Employment Board
     
  • Compliance Risk Manager - Testing / Audit 

    NEW

    BB&T

     - Winston Salem, NC

    other compliance concerns. Perform as a key officer within the compliance organization, ... for compliance risks. 7. Evaluate emerging compliance risks using a proactive approach...

    3 days ago from A Mighty River
     
  • Senior Compliance Consultant 

    NEW

    T. Rowe Price Group

     - Owings Mills, MD

    of each office of the broker/dealer - including securities transactions, ... Works in conjunction with the CCO of the broker/dealer in inspecting offices and reporting...

    3 days ago from T. Rowe Price Group, Inc.
     
  • Financial AML/BSA Compliance Officer 

    NEW

    Full Range Financial Services For Capital Markets

     - Memphis, TN

    and Corporate BSA Compliance Requirements •Bachelors Degree in Accounting, Finance ... with a broker dealer•Minimum 5 years experience in a directly related field...

    3 days ago from IvyExec
  • Policy & Procedure Compliance Officer 

    NEW

    American Bank Holding Company

     - Atlanta, GA

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

    3 days ago from IvyExec
     
  • Senior Vice President, Chief Administrative Officer 

    NEW

    Accomplished International Insurance and Financial Services Organization

     - Atlanta, GA

    in the independent broker/dealer space a plus. • Required active FINRA registrations ... various compliance and risk business units within company to ensure consistent controls...

    3 days ago from IvyExec
     
  • Compliance/Legal Assistant Support 

    NEW

    Capital Markets Compliance

     - Atlanta, GA

    the financial services industry including broker-dealers and investment advisers. ... and/or registration experience for broker dealers and/or investment advisers...

    3 days ago from BrokerHunter.com
     
  • SVP, Chief Administrative Officer, AIG Advisor Group 

    NEW

    AIG

     - York, GA

    interactions/negotiations with selected broker(s); ultimately responsible for E&O Profit ... experience in the independent broker/dealer space a plus. * Required active FINRA...

    3 days ago from InsuranceJobs.com
     
  • Project Manager-PMO

    TEKsystems

     - Philadelphia, PA

    in the development of project budgets in compliance with the company's financial ... following in the Financial Services Industry/Broker Dealers OR FINANCIAL ADVISORS: ?...

    4 days ago from Sologig
     
  • Director - Compliance

    Ameriprise Financial

     - Boston, MA

    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 Ameriprise Financial, Inc.
     
  • AVP Premier Relationship Manager

    HSBC

     - Depew, NY

    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
     
  • Compliance Senior Risk Officer - Testing

    BB&T Bank

     - Winston-Salem, NC

    samples, sampling procedures, assessing compliance controls, evaluating compliance ... lending, deposits,broker/dealer, anti-money BB&T is an Equal Opportunity Employer and con...

    4 days ago from Women's Career Channel
     
  • Market Risk Quantitative Manager

    Diversified Financial Services Firm Focusing On Investment Banking and Financial Planning

     - Tampa, FL

    as assigned by the Chief Risk Officer. Qualifications Knowledge, Skills, ... from the perspective of banks as well asbroker/dealers. Financial markets, with...

    4 days ago from IvyExec
     
  • Corporate Counsel

    Computershare

     - Louisville, KY

    disputes. * Provide advice and counsel to compliance officers, including supporting ... * Experience supporting abroker/dealer, exposure to federal securities laws and FINRA rul...

    4 days ago from Computershare Limited
     
  • Chief Compliance Officer - Broker/Dealer - Start-up

    Selby Jennings

     - New York City, NY

    I was just released a role with a Broker/Dealer that is looking to bring on a Chief Compli ... be responsible for a FINRA registered Broker Dealer as well as an SEC registered...

    4 days ago from Selby Jennings
     
  • Director AML Compliance/Deputy AML Compliance Officer

    Charles Schwab Corporation

     - Lone Tree, CO

    Strategy and Monitoring/AML Compliance Officer, the Director will: Serve as a Deputy ... EDD requirements specific to a broker\-dealer environment, including AML rules...

    4 days ago from BrokerHunter.com
     
  • Sr. Compliance OfficerBroker Dealer (consultant)

    Mla Global

     - Essex County, NJ

    candidate will serve as Compliance Officer for the regulated broker-dealer ... and monitoring regulatory and legalcompliance for Broker-Dealer activity.

    4 days ago from MLA Global
     
  • Compliance Director

    Compliance Search Group

     - New York City, NY

    as well broker-dealer (FINRA, SEC), and Swap Dealer (CFTC). • In depth ... of Compliance professionals ranging from staff levels to Chief Compliance Officers...

    4 days ago from The Ladders
     
  • Compliance/Sales Supervisor Broker Dealer - Prior Experience Required

    Adams Consulting Group

     - New York, NY

    Compliance/Sales Supervisor - Broker Dealer A New York branch office based broker dealer f ... of complianceexperience within a Broker Dealer environment Knowledge of FINRA and...

    5 days ago from Adams Consulting Group, LLC
     
  • MBSC Chief Compliance Officer - Compliance Manager II

    BNY Mellon

     - New York City, NY

    Compliance Manager for BNY Mellon and Chief Compliance Officer for a SEC-registered ... adviser and thebroker/dealer have adequate compliance coverage. Responsibilities...

    5 days ago from BNY Mellon
     
  • Assistant General Counsel- Securities

    Bankers Conseco Life Insurance Company

     - Chicago, IL

    • Provide legal counsel in the development of brokerdealer and registered investment adv ... requirements that affect the broker-dealer and investment advisor programs. Advise...

    5 days ago from Bankers Conseco Life Insurance Company
     
  • Assistant General Counsel- Securities

    Cno Financial Group

     - Chicago, IL

    • Provide legal counsel in the development of brokerdealer and registered investment adv ... requirements that affect the broker-dealer and investment advisor programs. Advise...

    5 days ago from CNO Financial Group Inc
     
  • Compliance Analyst

    John Hancock

     - Boston, MA

    The Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... Job Summary: Reporting to the Chief Compliance Officer of JHD/ JHF and coordinating with t...

    5 days ago from John Hancock
     
  • Compliance Analyst

    Jackson National Life Insurance Company

     - Denver, CO

    The Compliance Analyst will report to the Chief Compliance Officer ... associates, regulatory agencies and Broker-Dealers Assist in the monitoring and...

    5 days ago from Jackson National Life Insurance Company
     
  • Compliance Analyst

    Manufacturers Life Insurance Company

     - Boston, MA

    The Wholesale Broker-Dealer Compliance Department is responsible for the oversight of the ... Job Summary: Reporting to the Chief Compliance Officer of JHD/ JHF and coordinating with t...

    5 days ago from The Manufacturers Life Insurance Company
     
  • Compliance Consultant

    Manufacturers Life Insurance Company

     - Boston, MA

    Reporting to the Chief Compliance Officer of JHD/ JHF the Compliance Consultant is respons ... DivisionCompliance. Oversight of the broker dealer's electronic communications...

    5 days ago from The Manufacturers Life Insurance Company
     
  • Risk Officer

    Wells Fargo

     - St Louis, MO

    As the Risk Officer you will have the primary responsibility for: · Remote compliance supe ... · Demonstrated experience working in compliance, sales supervision or retail brokerage...

    5 days ago from Wells Fargo
     
  • Junior Compliance Officer

    Related

     - New York, NY

    are met as well as the Firm's broker-dealer compliance program. Primary ... of the EB-5 broker-dealer program including suitability reviews of customer...

    5 days ago from Related
     
  • Compliance Testing Analyst/Compliance Analyst

    T. Rowe Price Group

     - Owings Mills, MD

    Chief Compliance Officer of the broker/dealer and FWC Compliance Consultants in inspecting ... Travel, while not extensive, will be required to offices of the broker/dealer...

    5 days ago from T. Rowe Price Group, Inc.
  • Assistant General Counsel- Dispute Advisory Group Manager 

    NEW

    Major International Bank

     - O'fallon, MO

    all aspects of the handling of retail broker-dealer/RIA and insurance agency ... to those managing regulatory exams of the broker-dealer and insurance agency, oversee...

    2 days ago from IvyExec
     
  • Corporate Attorney--Fund Formation 

    NEW

    Slj

     - New York City, NY

    as well as to investment advisers and broker-dealers by providing the following ... agreements -Compliance rules and regulations of SEC, FINRA and other regulatory...

    12 hours ago from ZipRecruiter
  • Interactive Brokers

     - Washington, DC

    office. Assisting the firm's General Counsel in handling various litigation-related ... counsel) Coordinating with outside counsel on court actions involving the firm...

    8 hours ago from Interactive Brokers
     
  • Paralegal - Litigation/Regulatory 

    NEW

    Interactive Brokers

     - Washington, DC

    in-house counsel with the preparation of legal documents, maintain case files and provide ... and assistance to IB in-house counsel in FINRA, CFTC and NFA arbitrations and legal...

    8 hours ago from Interactive Brokers
     
  • Municipal Securities/Capital Markets Attorney 

    NEW

    Private Wealth & Asset Management Firm

     - Weehawken, NJ

    securities/capital markets lawyer to counsel the municipal retail sales, ... • experience with MSRB and applicableFINRA regulations, as well as SEC rules,...

    12 hours ago from IvyExec
     
  • Ameriprise Financial

     - Minneapolis, MN

    Minnesota or eligible for admission as house counsel. Preferred ... industry committees (such as SIFMA, NASAA,FINRA or others);License(s) RequiredNoneAbout...

    1 day ago from Disabled Persons
     
  • Regulatory Policy Specialist, Office of General Counsel 

    NEW

    Finra

     - Washington, DC

    About FINRA FINRA is an independent, non-governmental regulator for all securities ... of FINRA and no fee will be paid in the event that person is hired by FINRAFINRA is an...

    1 day ago from Disabled Persons
     
  • Sales Assistant - Principal Connection - #218343 

    NEW

    Principal Financial Group

     - Des Moines, IA

    of financial products is required. * Active FINRA Series 6 is preferred. If you do not ... of the nature of the duties of this position, a FINRA licensing check may also be...

    2 days ago from job.com
     
  • Associate Financial Consultant - Greater DC Area 

    NEW

    Charles Schwab Corporation

     - Alexandria, VA

    responsible for providing advice and counsel to individuals and families with ... Certified Financial Planner \- CFP, FINRA Series 66, FINRA Series 7 Relevant Work...

    2 days ago from job.com
  • Assistant General Counsel- Dispute Advisory Group Manager 

    NEW

    Major International Bank

     - O'fallon, MO

    and law enforcement agencies (i.e., FINRA, SEC, OCC, BBB, state regulators, ... years of management experience of a team of legal professionals preferred. It also...

    2 days ago from IvyExec
     
  • Legal Counsel 

    NEW

    Leading Mutual Fund and Financial Services Group

     - Merrimack, NH

    and meeting minutes. You will provide legal support for shareholder meeting ... productive relationships with the broader legal staff and business executives. A strong...

    2 days ago from IvyExec
     
  • Assoc General Counsel 

    NEW

    Fortune 100 Financial Services Company

     - Charlotte, NC

    entities distributing insurance products (broker dealers, trust company). · Provide legal ... Qualifications · Lawdegree and at least 5 years' experience as counsel in a law firm supp...

    3 days ago from IvyExec