- 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 ... trusted partner to our clients, we provide corporate and transactional banking; commercial real estate lending and servicing; investment banking; equity; and fixed… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... client alpha generation, and embedding data as a core lever for commercial growth. **Key Responsibilities:** + Implement a client-centric algorithmic data strategy… more
- SMBC (Jersey City, NJ)
- …regulators as needed **Qualifications and Skills** + At least 15 years of institutional broker - dealer compliance experience, with a minimum of 10 years of ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- Ankura (New York, NY)
- … lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered advisor] ... as support during the post- license examination process. Ankura's team of compliance professionals and former regulators provides expert guidance from the day of… more
- 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… more
- SMBC (Jersey City, NJ)
- …Skills** + Undergraduate degree required. + Approximately 1-3 years of relevant broker - dealer compliance and/or registrations experience, preferably within a ... value of its relationships in Asia, the Group offers a range of commercial and investment banking services to its corporate, institutional, and municipal clients. It… more
- Columbia Bank (Los Angeles, CA)
- …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... A Senior Wealth Advisor may manage clients linked to a group of branches, business/ commercial clients, or function as a "hub" or "second floor" advisor for an… more
- First Horizon Bank (Memphis, TN)
- …completion within 12 months) + Minimum 5 - 10 years of experience in broker - dealer , public accounting or other professional accounting role + Strong knowledge of ... Financial employees to manage the company's financial reporting processes and ensure compliance with SEC and FINRA regulations. This position is responsible for… 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
- 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