- Wells Fargo (Houston, TX)
- **About this role:** Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... applicable + Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- Wells Fargo (Bellevue, WA)
- **About this role:** Wells Fargo is seeking a Senior Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more ... applicable + Utilize prior experience in the Registered Client Associate role to anticipate and proactively seek resolutions to...are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
- Wells Fargo (Wilmington, NC)
- **About this role:** Wells Fargo is seeking a Senior Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the ... disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- Kestra Financial (Palo Alto, CA)
- …over the finish line and have a desire to learn, advance, and excel? The Senior Sales Associate reports to the Financial Advisor and is critical in meeting ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to:… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- Robert Half Office Team (Columbus, OH)
- …offers the opportunity to work in a dynamic environment supporting institutional broker dealer operations, focusing on client onboarding, asset movement, and ... Description We are looking for a skilled Operations Associate III to join our client's team in Columbus, Ohio. This long-term contract position… more
- Coinbase (Columbia, SC)
- …job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC and FINRA rules. * Provide ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- T. Rowe Price (Owings Mills, MD)
- …an expert level of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong analytical skills with attention ... to you . About this Position Reporting to the Broker / Dealer Chief Compliance Officer, the role is...making and negotiation skills + Demonstrated ability to influence senior leadership and peers + Demonstrated ability to prioritize… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Kestra Financial (Raleigh, NC)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Supervisory + Responsibilities: None Knowledge,… more