- Foresters Financial Services (Westbury, NY)
- …institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser , while serving advisors and institutions in a ... wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative… more
- HUB International (New York, NY)
- …designed to prevent violations of the federal securities laws such as the SEC Investment Adviser Act of 1940; + Assist in conducting ongoing compliance reviews, ... supporting HUB International's Retirement & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker-Dealer: The Deputy Chief… more
- JPMorgan Chase (New York, NY)
- …in financial investment products and services offered by a broker-dealer and investment adviser (eg investments such as fixed income, equity, listed options, ... not limited to the firm's online investing platform, digital account opening, investment funding, margin and lending. + Identify compliance and conduct risks… more
- Guardian Life (New York, NY)
- …Guardian's retail wealth management business, including its affiliated broker-dealer and investment adviser entities. + Assist with the Firm's Compliance ... Legal Team? The Compliance Analyst, Park Avenue Securities (PAS), and Park Avenue Investment Advisory (PAA), works as part of the Compliance team to ensure that… more
- TD Bank (New York, NY)
- …new industry standards. **Epoch Investment Partners, Inc., a SEC registered investment adviser with approximately $30 billion of assets under management is ... supervision of employees who are located outside of the US but provide investment management support to Epoch as part of a participating affiliate arrangement. In… more
- Mizuho Corporate Bank (New York, NY)
- Asset Management One USA Inc is a New York-based asset manager (SEC registered investment adviser and CFTC registered CTA/CPO) with approximately $ 7 b under ... Americas, EMEA and Asia. Mizuho Americas is a leading provider of corporate and investment banking services to clients in the US, Canada, and Latin America. Through… more
- BlackRock (New York, NY)
- …applicable rules and regulations, in particular FINRA Rule 2210 and the SEC Investment Adviser Marketing Rule. **Key Responsibilities:** This individual will be ... innovations that drive progress. This mission would not be possible without our smartest investment - the one we make in our employees. It's why we're dedicated to… more
- Wellington (New York, NY)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk… more
- Wellington (New York, NY)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk… more
- Wellington (New York, NY)
- …the world's largest independent investment management firms. We serve as a trusted adviser to clients in over 60 countries, visit our website to see our assets ... **About Us** **Wellington Management** offers comprehensive investment management capabilities that span nearly all segments...nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk… more