- Marex (Chicago, IL)
- …Relations with Onboarding process when required. + Ensuring compliance with the company's regulatory requirements under the SEC , FINRA, NFA, CFTC and other ... www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Senior Relationship Manager is responsible for managing and growing existing relationships… more
- JPMorgan Chase (Chicago, IL)
- …the investment solutions business team, focusing on managed investment solutions. + Address SEC regulatory and bank regulatory issues impacting investment ... play a pivotal role in advising on managed investment solutions, navigating regulatory challenges, and supporting new product development. This position offers… more
- Siebert Williams Shank (Chicago, IL)
- …are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC -registered securities broker-dealer and member ... and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in...of the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board… more