- Citizens (New York, NY)
- …the Citizens Consumer Bank. The Associate General Counsel will report to the Senior Associate General Counsel, Head of Wealth Legal and will be responsible ... aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services.… more
- Manulife (Boston, MA)
- …for Manulife John Hancock's investment products. Channel specific coverage includes Broker - Dealer /Platforms and Turnkey Asset Management Programs (TAMPs). ... We are looking for an Associate Director, Platform Distribution who will be responsible...institutional investors. + Maintain responsibility for business channel knowledge ( Broker - Dealer /Platforms, TAMPs, and the Bank Trust channel),… more
- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Knowledge, Skills, and/or Abilities + Advanced… more
- SMBC (Jersey City, NJ)
- …matter expert in the Regulatory Reporting Automation for BHC, Branch, Liquidity or Broker Dealer regulatory reports. This position will provide leadership to the ... but not limited to reports such as the FRB reports, knowledge of broker - dealer reporting, liquidity reporting, etc.) + Experience in capital markets asset… more
- M&T Bank (Orange, CA)
- …and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the documents, enter ... **Overview:** Coordinates workflow among Sales, Operations, Credit, and senior management within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy… more
- Columbia Bank (Los Angeles, CA)
- …+ Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for assigned job function as applied to designated ... Senior Wealth Advisor Wealth Management Irvine, California Sacramento,...a 401(k)-retirement savings plan with employer match for qualifying associate contributions, an employee assistance program, life insurance, disability… more
- Santander US (Boston, MA)
- …experience in fiduciary risk, compliance, operational risk or legal roles within a broker - dealer , private wealth, or trust environment. - Required. + Deep ... Wealth Management Risk Associate Country: United States of America **Your Journey...+ Develop and maintain risk reporting and metrics for senior management and governance committees. **What You Bring:** To… more
- SMBC (Jersey City, NJ)
- …LATAM representative offices, Grand Cayman branch, Brazilian banking subsidiary, US broker - dealer and registered swaps dealers, and certain non-banking leasing ... Sumitomo Mitsui Banking Corporation (SMBC) is seeking a dynamic Compliance Training Associate to join our Compliance Department Training Team. In this role, you… more
- Wells Fargo (San Francisco, CA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... with Wells Fargo. **About this role:** Wells Fargo is seeking an Investment Banking Associate with a focus on Software and Semiconductors for the Tech team within… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... to meet their financial needs. As a Private Wealth Associate in Chase Wealth Management, you will offer comprehensive...wealth management, and the ability to collaborate effectively with senior advisors to deepen with and serve clients. **Job… more