- Huntington National Bank (Columbus, OH)
- …or related experience Preferred Qualifications: + Bachelor's Degree + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + Proven ... account information and/or transaction details in relevant systems and ensures compliance with standard regulations and processes. + Delivers scalable, repeatable… more
- NBT Bank (Burlington, VT)
- …team player and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA ... rules and regulations + Strong communication and PC skills + No significant compliance issues + Has developed a process for client segmentation + Demonstrated… more
- Insight Global (San Francisco, CA)
- …confidence running product demos. -Experience selling to financial advisors, RIAs or broker - dealer networks (strong plus). -Willingness to grow with a scaling ... differentiation, and seamless integration with advisor platforms all designed to meet compliance needs. You'll be selling a tool that solves real workflow problems,… more
- JPMorgan Chase (Chicago, IL)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... across departments. + JD or educational equivalent required. + Compliance with relevant licensing requirements. **Preferred Qualifications, Capabilities, and… more
- PNC (Strongsville, OH)
- …web applications for Derivatives (Rates, Currency, Commodities, Credit) and Fixed Income broker - dealer trading and sales teams. you will be based either ... * Ensure all solutions adhere to enterprise security standards and regulatory compliance requirements, with a strong focus on data protection and secure software… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... stakeholders, including other control groups (such as risk management, compliance ), external auditors, and regulators. Establish strong working relationships while… more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing ... stakeholders, business management, other control groups (ie risk management, compliance , fraud prevention), external auditors, and regulators, establishing strong… more
- Vanguard (Malvern, PA)
- …on providing interpretative advice under the Securities Act of 1933 and 1934, FINRA broker - dealer regulation, ERISA, and the Investment Company Act of 1940. + ... developments affecting Vanguard, and maintains affiliations with relevant industry, compliance , and risk associations. + Develop and maintain relationships with… more
- Equitable (Charlotte, NC)
- …other retirement related markets. + Possessing a general understanding of overall Broker / Dealer investment and insurance products. + Performing due diligence ... retirement plan products and recordkeeping firms. + Supporting advisors, internal teams, legal/ compliance as a subject matter expert in ERISA and retirement plan… more