- JPMorgan Chase (Los Angeles, CA)
- …limited to, financial planning, goals-based investing, financial advisory at a broker - dealer , RIA and/or a private bank, affluent/high-net-worth solutions, and ... retirement strategies + Bachelor's degree and Certified Financial Planner (CFP) or Wealth Management Certified Professional (WMCP) designation (or equivalent) required + Ability & experience in understanding clients' financial situations and personal… more
- City National Bank (New York, NY)
- …Wealth Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser/ and the OCC. * For ... Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $77,000 to $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is… more
- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... clients, focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to join the Supervision and Controls Team. The role reports to the Head of Supervision and… more
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... securities brokerage and investment advisory organizations. This person ensures that all retail communication complies with states and federal laws, state insurance regulations, FINRA and SEC rules and regulations, and internal company standards. In this role,… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, self-motivated, and highly organized ... + Strong interpersonal, oral, and written communication skills + Understanding of FINRA, SEC, and state registration/licensing requirements + Excellent computer skills (Excel, Microsoft Office Suite, Workday) + Skilled at managing multiple deadlines and… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... compliance. + Maintain Redtail CRM database; Manage Client and Prospective Client Work Flow and coordinate follow-up with Advisors + Maintain a compliant filing and scanning system with Laser Fiche + Answer incoming calls and direct/take messages appropriately… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brother's Capital is a self-clearing broker - dealer with a specialization in proprietary trading in US equities markets, headquartered in New ... York City. We are seeking a highly motivated and Business Development Lead to join our dynamic team. As a key member of our organization, you will play a crucial role in driving sales growth and contributing to the achievement of our business goals.… more
- Kestra Financial (Palo Alto, CA)
- …experience in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not ... limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts. Location Palo Alto, California Job Type: Full-time Salaried Pay: $50,000.00 - $60,000.00 per year Base plus Bonus (Uncapped) We Offer: Base Salary, and performance… more
- Kestra Financial (Cypress, TX)
- …in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... to equities, bonds, options, mutual funds, annuities, insurance, and financial planning concepts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 preferred + Series 65/66… more
- Kestra Financial (Fort Worth, TX)
- …in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts * Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration * Series 7 and 63 required * Series 65/66 preferred (or… more