- Lincoln Financial (Radnor, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Role at a Glance** We are excited to bring on a **Director, Product Manager ** in our Retirement Plan Services (RPS) Agile Product Management team to work hybrid… 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 ... We are on the lookout for a talented Audit Manager to join our Asset Management Internal Audit team....the ability to establish credibility and build partnerships with senior business and control partners; adept at presenting complex… more
- Bank of America (Charlotte, NC)
- …entities including but not limited to BAC, BANA, BAC's Non-Bank Subsidiaries and the US Broker Dealer . GRR is seeking a Product Delivery Lead to help drive GFC's ... Global Regulatory Reporting Manager Charlotte, North Carolina **Job Description:** At Bank...and interpersonal) including tact, diplomacy and ability to influence senior executives + Integrity, maturity, dependability and positive professional… more
- JPMorgan Chase (Chicago, IL)
- …in the development of reviews of potential sales practice issues, including broker - dealer documents, trading, and financial information. + Present findings ... meet their generational wealth management needs. As a Vice President Sales Practice Manager within JP Morgan Wealth Management, you will have the opportunity to… more
- Commerce Bank (St. Louis, MO)
- …within financial services required + 3+ years leadership/supervisory experience within a broker - dealer or wealth management environment required + FINRA Series 7 ... compliance to align with corporate goals and regulatory requirements. The Sales Manager role requires a strategic leader with deep industry knowledge, exceptional… more
- Wells Fargo (St. Louis, MO)
- …partnering and collaborating with product, risk and operations teams across the broker - dealer and Client Relationship Group (CRG) + Accredited Investment ... **About this role:** Wells Fargo is seeking a Lead IRA Product Manager to join the Investment Product group within Wealth & Investment Management Investment… more
- Atria Wealth Solutions (Fort Worth, TX)
- …offers credit union members full-service financial planning and investment advice. CFS is a broker / dealer and RIA with a stable, 25-year track record of serving ... in the country. CFS (Member FINRA (http://www.finra.org/) / SIPC (http://www.sipc.org/) ) is a broker - dealer and RIA with a stable track record of serving the… more
- Kelly Services (New York, NY)
- … Manager /Specialist** to support compensation and billing operations for our Broker Dealer and Registered Investment Advisor teams. This fully remote ... **Job Title: Commissions Manager /Specialist** **Department: Compensation & Reporting** **Job Type: Temp-to-Perm...troubleshooting **Requirements:** + 4+ years of experience with a Broker Dealer and/or Registered Investment Advisor +… more
- Aegon Asset Management (Cedar Rapids, IA)
- …will support the CCO in managing the compliance program covering TFA's retail broker - dealer and investment advisory business. The candidate will contribute to ... + 8+ years of regulatory or securities compliance experience, preferably in a retail broker - dealer and investment advisory environment + At least 2 years of… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... banking professionals who provide direct analytical and quantitative assistance to senior bankers, facilitating investment banking services for public sector clients… more