- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... Compliance , IT Risk and Training committees. The Compliance Advisory Associate role assists in managing...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- Capital One (New York, NY)
- Associate Broker Dealer Risk...**4+ years of experience within a broker dealer registration and licensing function or similar compliance ... **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly motivated Risk Management professionals with excellent… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Coordination Team across Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $135,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- Foresters Financial Services (Westbury, NY)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Sales Support Associate Sales Westbury, New York Apply Description What...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Kestra Financial (Kings Park, NY)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... Summary The Client Service Associate reports to the Financial Advisor and is...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... Wells Fargo's Global Advisory Sales team is seeking an Equity Advisory Sales Associate . Learn more about Wells Fargo's Corporate and Investment Banking group and… more
- Wells Fargo (Syracuse, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking a Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the career areas… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... investment solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will be tasked with delivering… more