- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- Foresters Financial Services (Dublin, OH)
- …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 Dublin, Ohio Apply Description What we...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- JPMorgan Chase (Columbus, OH)
- …+ Understand and drive control design that support unique regulatory environment for the broker - dealer subject to oversite by the bank and Retail Non-Deposit ... **Consumer & Community Bank - JPMorgan Wealth Management Control Associate (Job Code OCCO02, Job Grade 602)** JPMorgan Chase...part of a team to provide oversight to ensure compliance with policies and standards. This individual will be… more
- JPMorgan Chase (Mansfield, OH)
- …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
- Huntington National Bank (Columbus, OH)
- …Services or related experience within Preferred Qualifications: + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + ... Description The Institutional Sales Support Associate plays a vital role in delivering exceptional...information and/or transaction details in relevant systems and ensures compliance with standard regulations and processes + Delivers scalable,… more
- KeyBank (Brooklyn, OH)
- …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