- SMBC (New York, NY)
- …advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief ... Compliance , IT Risk and Training committees. The Compliance Advisory Associate role assists in managing...Core Competencies/Skills: + 4-7 years of regulatory and/or advisory compliance experience at a broker dealer… more
- BlackRock (Princeton, NJ)
- **About this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's ... and strong attention to detail. The focus of the Compliance Associate will be providing support in...the overall maintenance and ongoing enhancement of a robust compliance program for BlackRock's Broker - Dealer ,… more
- Robert Half Legal (San Diego, CA)
- …financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate legal ... Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A… more
- Cleveland Research Company (Cleveland, OH)
- … Officer in identifying and mitigating potential conflicts and risks associated with a Broker Dealer firm. Our Compliance Department develops and maintains ... Compliance Associate Cleveland Research Company is...Cleveland Research Company, LLC, an equity research firm and Broker Dealer registered in Cleveland, Ohio, is… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers… more
- Foresters Financial Services (Westbury, NY)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Sales Support Associate Sales Westbury, New York Apply Description What...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... . Skills and Requirements -3 years of experience within compliance in a financial environment -Series 7 & 24 registrations… more
- Kestra Financial (Raleigh, NC)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including but not limited… more
- Kestra Financial (Kings Park, NY)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... Summary The Client Service Associate reports to the Financial Advisor and is...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and… more
- Kestra Financial (Knoxville, TN)
- …record keeping adheres to compliance standards * Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... The Client Service Associate is critical to appropriately leveraging Advisors' time,...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, including… more
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