- M&T Bank (Boston, MA)
- **Overview:** M&T Securities, Inc. is the institutional broker - dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role ... and interpret applicable FINRA, SEC, and other SRO rules as applicable to broker - dealer activities. + Assist in review of controls in place that are designed… more
- Santander US (Boston, MA)
- …stay current with competitive trends. + Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... possibilities **We Want to Talk to You!** **The Difference You Make:** The Sr. Specialist , Sales & Service Support will be the primary point of contact for existing… more
- JPMorgan Chase (Boston, MA)
- …solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliatechannels. + Proactively contact ... broker - dealer firms to identify avenues for increased...+ 5+ years' experience with financial services company in sales/ specialist role. + Extensive experience in the private alternative… more
- Wellington (Boston, MA)
- …including SEC, CFTC, FINRA, NFA requirements + Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, ... with legal support of Wealth initiatives preferred (eg, marketing, limited-scope broker / dealer support, US retail fund distribution, interval funds, tender… more