- 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
- 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
- US Bank (New York, NY)
- …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... with regulatory authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience with relevant trade… more
- BlackRock (New York, NY)
- …and promote regulatory expertise and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker - dealer , mutual fund, or ETF ... **About this role** ** Associate , Global Product Solutions ETF Regulatory Marketing Review**...Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory… 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 ... solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will provide client service, operational… more
- KeyBank (Albany, NY)
- …a group of KIS registered representatives on behalf of the bank channel broker - dealer . The Central Supervision Principal is responsible for the principal ... the Office of Supervisory Jurisdiction for Key Investment Services LLC. The Senior Associate -Central Supervision Principal reports to the Head of CSG and serves as… more