- JPMorgan Chase (New York, NY)
- …in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and ... alternative trading systems (ATSs), while collaborating closely with the firm's compliance and business control management teams to ensure adherence to control, risk management, and regulatory obligations. You will work in close collaboration with various… more
- Raymond James Financial, Inc. (Memphis, TN)
- …selecting fixed income products. + Basic use of portfolio analytical tools + Broker / dealer operations. **Skill in** + Interpreting and applying policies and ... procedures. + Preparing reports. + Helping to identify trends in the financial institution industry. + Follow-up to ensure resolution and completion of tasks. + Operating standard office equipment and using required software application to produce… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to… more
- Ankura (Chicago, IL)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Ankura (New York, NY)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Equitable (Philadelphia, PA)
- …/ knowledgeable of Wealth Management products Life Ins / Annuities / Broker Dealer . + Self-Starter, Strong organizational, analytical, investigative / auditing ... skills. + Ability to manage multiple priorities for various teams and meet deadlines. + Strong written, oral, and interpersonal skills. + Ability to present in a group or individual environment, explain policies and regulations to others. + High degree of… more
- JPMorgan Chase (Dallas, TX)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Manulife (Tempe, AZ)
- …Saving Plans, Separately Managed Accounts, and Private asset sales throughout the broker - dealer community. The Inside Sales Manager leads through establishing ... team vision, managing job expectations, performance coaching and driving business outcomes for the team members with a high level of engagement. This role will report directly to the Head of Internal Sales. **Responsibilities:** + Manages goal-setting and… more
- Wells Fargo (Charlotte, NC)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to… more
- Ankura (New York, NY)
- …root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent ... monitorships for regulatory undertakings. Role Overview: Ankura Consulting has a full-time position for a Senior Director in its Audit Advisory Practice. Audit Managing Directors provide subject matter expertise on a variety of topics including the application… more