EMPLOYMENT TUESDAY at BrokeAndBroker.com
June 23, 2015
Financial Advisor
NEWBB&T Bank
- Norfolk, VAEssential 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...
Financial Advisor
NEWAIG
- Wichita, KSFinancial Advisor - South Central Kansas Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for...
Financial Advisor
NEWOregon Employment Department
- Portland, ORWhy VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement. Whether you're an...
Financial Advisor
NEWFirst Command Financial Services
- Lake Buena Vista, FLFirst Command Financial Services is committed to helping American families get their financial lives squared away and pursue their goals and dreams through coaching and guidance...
Financial Advisor
NEWHancock Bank
- FloridaCoordinates 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...
Financial Advisor
NEWSeacoast National Bank
- Palm Beach, FLSummary: Position will sell financial services solutions to the public by prospecting and soliciting new business, developing existing accounts, and developing relationships with...
Financial Advisor
Workstaff USA Staffing Agency
- Warner Robins, GAWe are seeking an uncommon professional to join our team as a Financial Advisor. We are looking for different. We are looking for the strong in finance. We are looking for...
Financial Advisor
First Command Financial Services
- Rosamond, CAFirst 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...
Financial Advisor
AIG Financial Advisors
- Portland, ORPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
American International Group
- Livonia, MIPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor
NASA Federal Credit Union
- Columbia, MDThe Financial Advisor provides professional advisory services to Private and Business clients. Prepares and delivers comprehensive financial plans that may include portfolio...
Financial Advisor
First Mid-illinois Bank & Trust
- Mattoon, ILFinancial Advisor First Mid-Illinois Bank & Trust is seeking an experienced Financial Advisor to join its staff of banking professionals. This position will be responsible for...
Financial Advisor
CUNA Mutual Group
- Overland Park, KSJob Description: Financial Advisor - Mazuma Credit Union Job. Apply now. Apply now. * Start apply with LinkedIn. * * Apply Now. * Email Start. * Please wait... Apply now. Apply...
Financial Advisor
Mcadam
- Chicago, ILFinancial Advisor Success, for you and your clients. Earn the ability to create your own financial success through helping clients enjoy their own. You don't need prior finance...
Financial Advisor
Securian Financial Group
- San Mateo, CAFinancial Advisor Professionals Serving Professionals in a Thriving Industry True professionals have always sought like-minded individuals to serve their needs. You have an...
FINANCIAL ADVISOR
Cornerstone Consulting Group
- St. Charles, MOJob Description We are seeking a local professional to join our team as an additional Financial Advisor. Job Responsibilities: Serve Your Clients: 1. Cultivate strong...
Financial Advisor
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,...
Financial Advisor Enroller- Maryville/ Sevierville
NEWAmerican International Group
- Maryville, TNPosition Description Picture yourself building a successful career at VALIC, where you are in charge of your financial success! VALIC is a leader in the retirement planning...
Entry Level Inside Sales Retirement Specialist - Paid training
NEWAmerican International Group
- Houston, TXPosition Description Why AIG? At AIG, we offer a unique opportunity that will launch your career with opportunities for professional growth and development supported by a powerful...
Financial Advisor Enroller-New Orleans/Slidell
NEWAmerican International Group
- New Orleans, LAPosition Description Picture yourself building a successful career at VALIC, where you are in charge of your financial success! VALIC is a leader in the retirement planning...
Regional Vice President- Western Region
NEWAmerican International Group
- San Francisco, CAPosition Description The Regional Vice President (RVP) for Life Sales is the central resource and relationship manager for their assigned territory. Reporting to the Divisional...
Financial Advisor
American International Group
- Livonia, MIPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
- Financial Advisor - Flint Michigan Oakland County Territory
American International Group
- Flint, MI
Position Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor - Minneapolis/St. Paul
American International Group
- Minneapolis, MNPosition Description Why VALIC? At VALIC, our Financial Advisors assist clients in the education, healthcare and governmental sectors by partnering to plan for their retirement.
Financial Advisor Enroller-Starkville
American International Group
- Jackson, MSPosition Description Picture yourself building a successful career at VALIC, where you are in charge of your financial success! VALIC is a leader in the retirement planning...
Global Investment Opportunities Group - Latin America Private Bank - Brazil - VP
NEWJPMorgan Chase
- New York City, NYGlobal Investment Opportunities Group J.P. Morgan Private Banking, which includes both the Private Bank and Private Wealth Management businesses, offers individuals and families...
Trade Support Specialist
NEWJPMorgan Chase
- Newark, DEBusiness Background The Global Fixed Income Securities Cash Middle Office is primarily responsible for the trade management and control of both the standard and non standard...
Corporate Compliance - Surveillance Manager - Fixed Income and Swaps Trade Surveillance - Vice President - Jersey City
NEWJPMorgan Chase
- New York City, NYJPMorgan 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...
Chase Private Client - Private Client Advisor
NEWJPMorgan Chase
- Ridgefield, CTBusiness 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...
CIB - Investor Services-Sales - Vice President
NEWJPMorgan Chase
- New York City, NYAbout J.P. Morgan Corporate & Investment Bank J.P. Morgan's Corporate & Investment Bank (CIB) is a global leader across banking, markets and investor services. The world's top...
Chase Wealth Management - Financial Advisor Associate - CA - Manhattan Beach (Sepulveda)
JPMorgan Chase
- Manhattan Beach, CAFinancial Advisor Associate Business Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial...
Chase Wealth Management - Chase Private Client Investment Associate - Houston, Texas (Tanglewood Houston)
JPMorgan Chase
- Houston, TXJob Description: Chase is the U.S. consumer and commercial banking business of JPMorgan Chase & Co. (NYSE: JPM), a leading global financial services firm with assets of $2.3...
Asset Management Cash Processing Team Leader / Supervisor
JPMorgan Chase
- Newark, DECash Operations is a team dedicated to servicing all of the client needs from transaction processing through investigations support. Individual is responsible for daily workflow,...
Associate Financial Consultant - Tyson's Corner, VA(20150619-2237)
NEWCharles Schwab Corporation
- Tysons Corner, VATysons Corner - VA, BRVATY, 1650 Tysons Blvd, 22102-4856 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven...
Licensed Account Solutions Associate(0116-21519)
NEWCharles Schwab Corporation
- Orlando, FLOrlando - FL, ORL2, 1958 Summit Park Dr, 32810 Christal Lynn Fortunato We believe that, when done right, investing liberates people to create their own destiny. We are driven by...
Client Service Specialist - Seattle, WA(20150619-2240)
NEWCharles Schwab Corporation
- Seattle, WASeattle - WA, BRWASE, 508 Union St, 98101-2309 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...
Account Solutions Operations Team Manager(0427-23217)
NEWCharles Schwab Corporation
- Orlando, FLOrlando - FL, ORL2, 1958 Summit Park Dr, 32810 Christal Lynn Fortunato We believe that, when done right, investing liberates people to create their own destiny. We are driven by...
Portfolio Consultant - Schwab Private Client, Lone Tree (CS)
NEWCharles Schwab Corporation
- Denver, CODescription: **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...
Senior Operations Manager
NEWCharles Schwab Corporation
- Bellevue, WADescription:Bellevue \- WA, BRWABV, 11100 NE 8th St\., 98004\-4465 Veronica Vecchio **We believe that** , when done right, investing liberates people to create their own destiny\.
Sr. Specialist Institutional Trading
NEWCharles Schwab Corporation
- Englewood, CODescription: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...
Vice President, Branch Manager
NEWCharles Schwab Corporation
- Louisville, KYDescription:Louisville \- KY, BRKYLO, 295 N\. Hubbards Lane, 40207\-8206 Veronica Vecchio **We believe that** , when done right, investing liberates people to create their own...
Associate Financial Consultant - Potomoc
NEWCharles Schwab Corporation
- Potomac, MDDescription:Potomac \- MD, BSMDPO, 12500 Park Potomac Ave, 20854\-6903 Veronica Vecchio **We believe that** , when done right, investing liberates people to create their own...
Managing Director of Learning: Compliance, Regulatory and CPMO
NEWCharles Schwab Corporation
- Lone Tree, CODescription:Lone Tree \- CO, DENR1, 9875 Schwab Way, 80124 Julie Hoelsken **We believe that** , when done right, investing liberates people to create their own destiny\. **We are...
Associate Financial Consultant - Potomoc, MD(20150617-2231)
NEWCharles Schwab Corporation
- Potomac, MDPotomac - MD, BSMDPO, 12500 Park Potomac Ave, 20854-6903 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven...
Senior Operations Manager - Bellevue, WA(20150616-2218)
NEWCharles Schwab Corporation
- Bellevue, WABellevue - WA, BRWABV, 11100 NE 8th St., 98004-4465 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...
Associate Financial Consultant - St. Louis-West County, MO(20150617-2232)
NEWCharles Schwab Corporation
- St Louis, MOChesterfield - MO, BRMOWT, 17247 Chesterfield Airport Rd., 63005-1423 Michelle Lynn Huber We believe that, when done right, investing liberates people to create their own destiny.
Charles Schwab Corporation
- Denver, COLone Tree - CO, DENR2, 9825 Schwab Way, 80124 Kendall Smelser We believe that, when done right, investing liberates people to create their own destiny. We are driven by our...
Client Service Specialist Ops Manager
NEWCharles Schwab Corporation
- Richfield, OHDescription: **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...
Operations Sr. Specialist - Alternative Investments
NEWCharles Schwab Corporation
- Englewood, CODescription: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...
Product Manager of Investor Online Services
NEWCharles Schwab Corporation
- Denver, CODescription:San Francisco \- CA, SF211MN, 211 Main St, 94105\-1905 Nicole Stefanski **We believe that** , when done right, investing liberates people to create their own destiny\.
Relationship Manager, Advisor Services - Chicago Metro Region
Charles Schwab Corporation
- Chicago, ILDescription: **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...
Associate Financial Consultant- Oakland, CA (Sourcing Req)
Charles Schwab Corporation
- Sunnyvale, CADescription: **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...
Associate Financial Consultant- Bay Area, CA (Sourcing Req)
Charles Schwab Corporation
- Menlo Park, CADescription:Oakland \- CA, BRCAOD, 1939 Harrison St, 94612\-3532 Jessica Marie Martinez **We believe that** , when done right, investing liberates people to create their own...
Associate Financial Consultant - Memorial City
Charles Schwab Corporation
- Houston, TXDescription:Houston \- TX, BRTXQ2, 947 Gessner Road, 77024\-2501 Don Carlos Collins **We believe that** , when done right, investing liberates people to create their own destiny\.
Team Manager, Participant Investor Concierge - Austin, TX
Charles Schwab Corporation
- Richfield, OHDescription:Austin \- TX, AUSTINB, 12401 Research Blvd, 78759 Jessica Marie Martinez **We believe that** , when done right, investing liberates people to create their own...
Vice President, Branch Manager - Louisville, KY(20150615-2197)
Charles Schwab Corporation
- Louisville, KYLouisville - KY, BRKYLO, 295 N. Hubbards Lane, 40207-8206 Veronica Vecchio We believe that, when done right, investing liberates people to create their own destiny. We are driven...
Field Auditor - NRS - Minneapolis - Homebased
NEWElsevier
- Minneapolis, MNand services to Investment Advisors, Broker\-Dealers, Hedge\-Funds, Banks and ... for branch and home office locations for Broker\-Dealers and mock regulatory audits...
Branch Manager - Aventura
NEWAmeriprise
- North Miami Beach, FL*FINRA Series 7, 24, 63/66, 65/66 and 9/10 required ... principal registrations to supervise broker dealeroperations, training, and...
VP Premier Relationship Manager
NEWHSBC
- Fort Lee, NJArea Compliance Officer or Local Compliance Officer, ensuring adequate compliance ... Global ComplianceOfficer, Area Compliance Officer or Local Compliance Officer. The...
Lead Developer in Test - Rockville, MD - Contractor Conversion
NEWFinancial Industry Regulatory Authority (finra)
- Potomac, MDthe employee) and to authorize their broker-dealers to provide FINRA with duplicate ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA...
Compliance Consultant- MOIS Securities Compliance
NEWMutual of Omaha Bank
- Omaha, NEcompliance surveillance activities for the broker dealer including the detection of ... compliance risks. Directs and leads broker dealer/compliance initiatives and...
Public Offerings Analyst, Corporate Financing
NEWFinancial Industry Regulatory Authority
- Rockville, MDarrangements for compliance with FINRA/NASD and SEC rules and federal ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Associate General Counsel/Compliance Officer
NEWPyramid Consulting
- Roseland, NJregulations that apply to a registered broker-dealer, as such rules and laws relate ... dealer with specific experience supporting broker-dealer compliance. Prior experience as...
Regional Vice President- Western Region
NEWAIG Financial Advisors
- Phoenix, AZprioritize business plans through Broker Dealer accounts in order to achieve highest ... conference calls in the assigned Broker Dealer accounts including: Merrill Lynch, TIME...
Counsel - Investment Adviser's Act
NEWLeading Financial Planning and Services Company
- Minneapolis, MNmaking Financial the largest independent broker-dealer (IBD) in the managed account ... industry practices; - Collaborating with Compliance personnel on relevant compliance...
Vice President â?? Investment Performance Reporting, Asset & Wealth Management (AWM)
NEWLeading Financial Planning and Services Company
- Minneapolis, MNneeds of the broker-dealer (end client (novice to sophisticated investor), advisor, ... within a broker-dealerorganization • Bachelor's degree in Mathematics, Finance,...
Compliance Senior Specialist - AMG Institutional Advisory
NEWMajor American Financial Services Company
- Cleveland, OHof responsibility. You will assist in FINRA and Third-party broker-dealer audits. ... Requires 6 to 8 years of experience/knowledge of compliance regulations and compliance mon...
Regional Vice President - Western Region
NEWAccomplished International Insurance and Financial Services Organization
- Phoenix, AZbusiness plans through Broker Dealer accounts in order to achieve highest return ... calls in the assigned BrokerDealer accounts including: Merrill Lynch, TIME...
Retirement Plan Client Relationship Director
NEWDiversified Insurance Services Firm
- Detroit, MIas needed, regarding compliance with broker dealer policies. This position may be located ... in Financial Services industry FINRA Series 6, 26, 63 and other licenses and...
Senior Corporate Compliance Officer
NEWEuropean Leader In Global Banking and Financial Services
- San Francisco, CAsecurities, insurance, and trust/fiduciary compliance and knowledge of regulations ... Management experience at a retail broker dealer or registered investment adviser,...
Wealth Management Broker-Dealer and Capital Markets Attorney Officer
NEWLeading Global Financial Services Firm
- New York City, NYby a FINRA and SEC licensed broker-dealer that is also a registered investment ... Morgan Stanley Wealth Management's Broker Dealer functions and its Capital Markets...
Municipal Securities Compliance Officer
NEWLeading Global Financial Services Firm
- New York City, NYPrimary Responsibilities · Provide Compliance support for Public Finance ... of broker-dealer regulatorycompliance including MSRB, FINRA, and SEC...
Regulatory Inquiries Group - Vice President
NEWLeading Global Financial Services Firm
- New York City, NYinternal counsel, operation personnel, compliance coverage, etc. as required, to ... organization such as the NYSE,FINRA, AMEX, SEC or similar broker/dealer regulatory...
Internal Audit Broker Dealer Compliance Team Leader
NEWLeading Global Financial Services Firm
- New York City, NYdevelopment, planning and/or performing of Broker-Dealer and Core Compliance audits ... the following: · Development of Broker Dealer/Core Compliance Audit Risk Assessment...
Sales Practice Supervisor
NEWConcorde Investment Services
- Troy, MIsecurities broker dealer registered with FINRA to solicit securities products in all ... (RRs) in the areas of insurance, broker-dealer transactions as well as...
Octon - Senior Developer - VP
NEWBarclays
- Whippany, NJand duties are carried out in full compliance with regulatory requirements, Barclays ... Broker / Dealer, and how they relate to ◦Submissions to the SEC and FED • Familiarity...
Senior Associate, Broker-Dealer and Investment Advisory Compliance
NEWNew York Life Insurance Co
- New York City, NYSenior Associate, Broker-Dealer and Investment Advisory Compliance Job Overview: The ... for providingcompliance support and guidance to our broker-dealer and registered...
Regulatory Review and Reporting, Senior Associate (16981)
NEWNew York Life Insurance Co
- New York City, NYDepartment: Corporate Compliance - Regulatory Reporting / Complaints Review Role ... Qualifications: PriorBroker Dealer experience, preferably in compliance or operations,...
Senior Branch Office Examiner
NEWAIG
- Phoenix, GARequirements 5 + years experience in Compliance or Branch Exams. * FINRA series 7, ... FINRA manual, FINRANotices to Members, Compliance notices and other publications...
FSI Compliance Professional
NEWManpowergroup
- Pittsburgh, PAThis would include the banking letter regulations, AML/BSA, FINRA, broker-dealer, Dodd-Fra ... certifications include: Certified Regulatory Compliance Manager, Certified Anti-Money...
Compliance Consultant 5 VP Direct
NEWWells Fargo
- Charlotte, NCWFS Compliance The Credit Sales and Trading Compliance Consultant is responsible for ... with an institutionalbroker-dealer * 5 years of fixed income compliance or...
Financial Operations Examiner - Market Regulation, Trading & Financial ComplianceExaminations
NEWFinancial Industry Regulatory Authority
- Chicago, ILFINRA employees are required to disclose to FINRA all brokerage accounts that they ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Senior Security Engineer
NEWFinancial Industry Regulatory Authority
- Rockville, MDFINRA employees are required to disclose to FINRA all brokerage accounts that they ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Senior Compliance Officer- Manager Volcker Compliance/ Regulatory Reporting & Governance
NEWCitigroup - Finance Industry
- New York City, NYCiti's Volcker Compliance Program ("Compliance Program). Specific responsibilities ... Compliance Program. • Represent Compliance and support Compliance involvement in...
Senior Compliance Officer Manager Volcker Compliance Regulatory Reporting Governance
NEWCiti
- New Yorkresponsibilities under Citis Volcker Compliance Program (Compliance Program). ... Citi Volcker ComplianceProgram. Represent Compliance and support Compliance involvement...
License Specialist
NEWKansas City Life Insurance
- Kansas City, MOServices, Kansas City Life's wholly-owned broker/dealer subsidiary.* *Securities ... 3520 Broadway Kansas City, MO 64111 Phone: 816-753-7000 (Home Office) Member FINRA / SIPC...
Supervisory Principal
NEWAsian American Lawyers Association of Massachusetts (aalam)
- Cincinnati, OHbroker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Now Hiring Stay at Home Moms!
NEWThoroughbred Advisors
- Latham, NYproducts and services available through our Broker Dealer and Registered Investment ... (ESI), MemberFINRA/SIPC, 15 Fisher Lane, White Plains, NY 10603 914.428.4000...
Senior Compliance Advisor
NEWFidelity Investments
- Boston, MAby the Securities and Exchange Commission, FINRA, other Self-Regulatory Organizations ... in securities andbroker dealer industry, compliance/legal or regulatory organization...
Financial Advisor- Leon County
NEWCapital City Bank Group
- Tallahassee, FLVehicle Guidelines. • In compliance with the S.A.F.E. Act, registration in the NMLS ... Broker/Dealer, memberFINRA and SIPC. This position requires the associate to...
Head of Compliance
NEWProshares
- Bethesda, MDoverall compliance program for the broker dealer and entities registered with the ... of FINRA and NFA rules as they relate to compliance. Experience working with SEC, FINRA...
Sales Service Coordinator
NEWJackson National Life Insurance Company
- Nashville, TNannuities) to independent and regional broker-dealers, independent agents and financial ... Marketing, Product Management, Legal, Compliance, Illustrations, and other partners to...
Director, Enforcement Center - Rockville
NEWFinancial Industry Regulatory Authority (finra)
- Potomac, MDthe employee) and to authorize their broker-dealers to provide FINRA with duplicate ... on nepotism. AboutFINRA FINRA is an independent, non-governmental regulator for all...
Compliance Associate - Employee Monitoring
NEWRBC
- Jersey City, NJ. PURPOSE: Administer employee compliance with Firm policy, SEC and FINRA rules and ... Bachelors Degree Prior broker-dealer experience Preferred: Excellent computer skills...
Manager, Cash Reconciliation
NEWLpl Financial
- San Diego, CAof controls and in ensuring organizational compliance with internal controls over ... member Experience in public accounting and broker/dealers strongly preferred BA/BS degree...
Supervisory Principal
NEWLpl Financial
- Cincinnati, OHbroker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Regional Vice President- Western Region
NEWAmerican International Group
- San Francisco, CAbusiness plans through Broker Dealer accounts in order to achieve highest return ... calls in the assigned BrokerDealer accounts including: Merrill Lynch, TIME...
FSI Compliance Professional
NEWExperis
- Pittsburgh, PAThis would include the banking letter regulations, AML/BSA, FINRA, broker-dealer, Dodd-Fra ... certifications include: Certified Regulatory Compliance Manager, Certified Anti-Money...
New Accounts Specialist
NEWEdelman Financial Services
- Richmond, VA2 years equivalent industry experience in compliance related position dealing ... industry experience specifically in a broker/dealer or registered investment...
Compliance Officer I
NEWTiaa Cref
- Denver, COinformation, analyzing records, writing compliance reports and providing verbal ... required Experience with full array of broker-dealer trading activities including...
Senior Branch Office Examiner
NEWAIG Financial Advisors
- Atlanta, GA5 + years experience in Compliance or Branch Exams. • FINRA series 7, 24 and 65/66 ... to Members, Compliancenotices and other publications concerning broker/dealer...
Associate Director, Talent Acquisition & Mobility - Rockville, MD or
NEWFinra
- New York City, NYand to authorize their broker-dealers to provide FINRA with duplicate statements for all ... of FINRA and no fee will be paid in the event that person is hired by FINRA. FINRA is an...
Alternative Net Capital (ANC) Examiner - Member Regulation, ROOR
NEWFinancial Industry Regulatory Authority
- New York, NY* Exposure to numerous areas of a broker-dealer's business. * Overnight travel ... qualified protected veterans. 2015 FINRA. All rights reserved. FINRA is a...
Compliance Officer - Markets/Equity Derivatives (Vice President)
NEWTop Tier Financial Services Company
- New York City, NYof a sophisticated full service broker/dealer oriented toward Institutional clients. ... trading. Assist in the preparation of Compliance reports for Compliance Management,...
SENIOR ANALYST, POLICIES & PROCEDURES
Stifel Nicolaus
- St Louis, MOpolicies and procedures for multiple broker-dealer affiliates. Main focus for this ... General understanding of SEC and FINRA rules/regulations, industry practice and how they a...
Executive Director, IFDI Compliance
Waddell and Reed
- Overland Park, KSthe firm's distributor broker-dealer. Manage IFDI Surveillance Analyst. Provide ... Distributor broker-dealercompliance or supervisory experience required...
Compliance Surveillance Analyst
Waddell and Reed
- Overland Park, KSprincipals, concerning compliance issues and compliance policies and procedures. Provide ... preferred. Familiarity with broker-dealer compliance, Pershing NetX360 and SunGard...
Compliance Analyst - Advisor Review
Asian American Lawyers Association of Massachusetts (aalam)
- Remote, ORbroker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Senior Analyst - Integration, Reporting, and Quality Management
Asian American Lawyers Association of Massachusetts (aalam)
- Charlotte, NCbroker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Analyst, AML Operations
Asian American Lawyers Association of Massachusetts (aalam)
- Charlotte, NCbroker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Manager, Cash Reconciliation
Asian American Lawyers Association of Massachusetts (aalam)
- San Diego, CAof controls and in ensuring organizational compliance with internal controls over ... member Experience in public accounting and broker/dealers strongly preferred BA/BS degree...
Vice President - Investment Performance Reporting, Advice & Wealth Management (AWM)
Ameriprise Financial
- Minneapolis, MNperformance reporting within a broker-dealer organization • Bachelor's degree in ... the broker-dealer (end client (novice to sophisticated investor), advisor, field...
Counsel (105195-1)
TD Ameritrade
- Jersey City, NJcorporate and commercial law, and broker dealer regulations * Experience ... member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...
Counsel (105195)
TD Ameritrade
- Omaha, NEcorporate and commercial law, and broker dealer regulations * Experience ... member FINRA/SIPC/NFA is a subsidiary of TD Ameritrade Holding Corporation (NYSE: AMTD)...
Hearing Officer, Office of Hearing Officers
Financial Industry Regulatory Authority (finra)
- Washington, DCpanelists on issues of law and procedure, compliance with FINRA Sanction Guidelines, ... the employee) and to authorize their broker-dealers to provide FINRA with duplicate...
Associate Director, Quantitative Analytics
Financial Industry Regulatory Authority (finra)
- New York, NYbroker-dealers by conducting interviews of compliance professionals and ... their broker-dealers to provideFINRA with duplicate statements for all of those...
Compliance Analyst - Advisor Review
Lpl Financial
- Remote, ORbroker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Senior Analyst - Integration, Reporting, and Quality Management
Lpl Financial
- Charlotte, NCbroker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Analyst, AML Operations
Lpl Financial
- Charlotte, NCbroker/dealer and fourth largest broker/dealer with more than 14,000 independent ... LPL Financial has been ranked the number one broker/dealer in its class consistently over...
Senior Branch Office Examiner
AIG
- Atlanta, GA5 + years experience in Compliance or Branch Exams. * FINRA ... FINRA manual, FINRA Notices to Members,Compliance notices and other publications...
Senior Compliance Analyst
American International Group
- Atlanta, GAManual, FINRA manual, FINRA Notices to Members, Compliance notices and other ... publications concerningbroker/dealer regulation. • Strong communication,...
Sr Compliance Analyst
American International Group
- Phoenix, AZ• Assist in the monitoring of Company compliance with state/federal law and rules and regu ... experience with abroker/dealer or similar, in the compliance or legal field in...
Surveillance Analyst
American International Group
- Atlanta, GAManual, FINRA manual, FINRA Notices to Members, Compliance notices and other ... publications concerningbroker/dealer regulation. • Effective communication skills,...
Regulatory Coordinator - Member Regulation, Sales Practice
Financial Industry Regulatory Authority
- New York, NYFINRA employees are required to disclose to FINRA all brokerage accounts that they ... with the employee) and to authorize their broker-dealers to provide FINRA with...
Broker-Dealer Regulatory Reporting Lead Analyst
KP Recruiting Group
- Buffalo, NYof customer funds held by the broker-dealer. Currently this department is seeking ... dealer regulatory capacity. Background in broker dealer audit and examinations is highly...
Private Banking Wealth Management Lawyer
Multinational Financial Services Holding Company
- New York City, NYand work closely with the Chief Compliance Officer and Compliance Department for ... the Attorney will advise on various broker-dealer related matters for trading desks and...
Sales Supervisor
Guggenheim Investments
- New York City, NYsuccessful candidate will have prior Broker Dealer Equity and Fixed Income supervisory ... a supervisory orcompliance role of a broker-dealer. An understanding of broker-dealer...
Compliance Officer
Tiaa-cref
- New York City, NYinformation, analyzing records, writing compliance reports and providing verbal ... * Experience with full array ofbroker-dealer trading activities including variable...
Marketing Associate
BlackRock
- San Francisco, CAcompliance groups to help ensure regulatory compliance of marketing and sales collateral, ... Skills/Requirements: BS/BA 1+ years of communications review for a broker-dealer, mutual f...
Sales Supervisor
Guggenheim Partners
- New York City, NYsuccessful candidate will have prior Broker Dealer Equity and Fixed Income supervisory ... a supervisory orcompliance role of a broker-dealer. An understanding of broker-dealer...
Compliance Officer
Hanson McClain Advisors
- Sacramento, CAworking with investment advisor & broker-dealer compliance issues, including review ... We are a FINRARegistered Broker/Dealer and SEC Registered Investment Advisor providing in...
Counsel - Investment Adviser's Act
NEWLeading Financial Planning and Services Company
- Minneapolis, MNFinancial the largest independent broker-dealer (IBD) in the managed account space. ... reports; - Working with regulators, outside counsel and independent experts from time to...
Attorney Jobs-JDHUNTR-15127 Chief Risk Officer, Risk Management
NEWIn-house Counsel Jobs - Jdhuntr
- Houston, TXregulatory compliance, with focus on broker-dealer and registered investment adviser ... jobs, lawyer jobs, attorney jobs, general counsel jobs, JDHUNTR, litigation, corporate...
Director, Enforcement Center - Rockville
NEWFinancial Industry Regulatory Authority (finra)
- Potomac, MDduring discussions with outside counsel, in settlement negotiations, and ... the employee) and to authorize theirbroker-dealers to provide FINRA with duplicate...
Assoc General Counsel
NEWTiaa Cref
- Charlotte, NCto the Senior Director & Associate General Counsel, Insurance and be a member of an ... entities distributing insurance products (broker dealers, trust company). Provide legal...
JUNIOR TO MID LEVEL INVESTMENT MANAGEMENT ASSOCIATE NEEDED!
NEWParker + Lynch
- Washington, DCas partnering with colleagues abroad to counsel on foreign regulations that impact U.S. ... adviser registration and regulation, broker-dealer regulatory issues and the CFTC's...
Counsel (105195-1)
TD Ameritrade
- Jersey City, NJOutside Counsel and other TD Ameritrade counsel in defending larger lawsuits and ... corporate and commercial law, and broker dealer regulations * Experience...
Counsel (105195)
TD Ameritrade
- Omaha, NEOutside Counsel and other TD Ameritrade counsel in defending larger lawsuits and ... corporate and commercial law, and broker dealer regulations * Experience...
Centralized Compliance Q/C Testing Specialist
M&T Bank
- Buffalo, NYcan include: Fiduciary, Broker Dealer, Insurance, Investment Advisor, or ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business unit...
Private Banking Wealth Management Lawyer
Multinational Financial Services Holding Company
- New York City, NYwill 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...
Centralized Compliance Q/C Testing Specialist
M&T Bank
- Buffalo, NYcan include: Fiduciary, Broker Dealer, Insurance, Investment Advisor, or ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business unit...
Municipal Securities/Capital Markets Attorney
UBS
- Weehawken, NJsecurities/capital markets lawyer to counsel the municipal retail sales, ... writing skills * experience working withbroker-dealer compliance departments and have...
Director, Enforcement Center
Finra
- Rockville, MDduring discussions with outside counsel, in settlement negotiations, and ... employee) and to authorize theirbroker-dealers to provide FINRA with duplicate statements...
Counsel - Market Regulation, Legal
Finra
- Rockville, MDCounsel, Litigation, or Assistant Chief Counsel, Quality of Markets to the Market ... employee) and to authorize their broker-dealers to provide FINRA with duplicate...
Assistant General Counsel - Municipal Securities
Michael Page International - US
- Manhattan, NYExperience with municipal finance, broker-dealer regulation and derivatives a plus. Knowledge of Dodd-Frank regulations, such as the Volcker Rule, Credit Risk Retention Rules,...
Investment Trade Review Compliance Officer
American Financial Services Holding Company
- Charlotte, NCSecurities Principal approving new accounts, broker dealer changes, and IC recommendations. c. Issue Suspense Reports for missing information on the Client Profile and/or...
Centralized Compliance Q/C Testing Specialist - D1D
Manufacturers and Traders Trust Company
- Buffalo, NYactivities can include: Fiduciary, Broker Dealer, Insurance, Investment Advisor, or ... with the Deputy Compliance Officer and Counsel's Office, disseminates to business...
Contract Corporate Compliance Attorney
Special Counsel
- New York City, NYprepare and file investment adviser and broker-dealer applications with the ... You may submit your resume below or on our Special Counsel website at www.specialcounsel.c...
Managing Counsel
Global Automotive Industry Leader
- Plano, TXregulatory matters. • Assist Managing Counsel in advising with respect to broker-dealer ... groups, including: •Dealer Lending, Dealer Products and Commercial Finance o...
Securities & Insurance Distribution Counsel, Assistant General Counsel (13241)
New York Life Insurance Co
- New York City, NY& Insurance Assistant Counsel: A Fortune 100 life insurer with retail brokerage and ... familiarity withbroker/dealer and registered investment adviser issues.
Assistant General Counsel - Municipal Securities (00983113)
Michael Page International - US
- Manhattan, NYAssistant General Counsel - Municipal Securities * Salary: Negotiable * Location: ... * Experience with municipal finance, broker-dealer regulation and derivatives a...
Assistant General Counsel - Municipal Securities (00983230)
Michael Page International - US
- Manhattan, NYAssistant General Counsel - Municipal Securities * Salary: Negotiable * Location: ... * Experience with municipal finance, broker-dealer regulation and derivatives a...
Sr Counsel
ING Financial Services
- New York, NY5-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...