- City National Bank (Los Angeles, CA)
- …+ FINRA Series 7 and 63 or 66 licenses + FINRA Series 24: General Securities Principal **Skills and Knowledge** + Knowledge of equities, mutual funds, margin ... SENIOR CNS** **WHAT IS THE OPPORTUNITY?** Serve as a registered representative for City National Securities (CNS)....as a registered representative for City National Securities (CNS). Process stock, option, fixed income, and mutual… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …Bancorp. Mitigate risk of loss and regulatory risk incurred by Fifth Third Securities . Responsible and accountable for risk by openly exchanging ideas and opinions, ... + Approves or rejects a subset of business processes including rollovers, securities and / or insurance transactions for the broker-dealer, investment advisor and… more
- Atria Wealth Solutions (San Diego, CA)
- …and maximize efficiencies in their practices. We are looking for a Supervisory Principal / Home Office Principal to join our organization. The Supervisory ... supervision to Office of Supervisory Jurisdiction (OSJ) Managers and Registered Representatives (Supervised Persons) assigned to your designated region. You… more
- MassMutual (Springfield, MA)
- **The Opportunity** As a **Suitability Principal ** you will conduct back-office review and firm-acceptance of new and existing business and account maintenance ... Direct and Third-Party Advisory accounts. + Review trading activity of registered representatives through supervisory control procedures and application of firm… more
- Truist (Charlotte, NC)
- …Perform supervisory task delegated by Principal Managers including oversight of securities related activity of registered bank teammates 8. Quality Control ... with those of a retail broker/dealer and RIA supervising principal in the securities industry. The supervisory...the public. Responsible for following regulatory policy as a Registered Principal for the firm. The Central… more
- Bank of America (Bellevue, WA)
- …associated with leading licensed associates will include: o RE will act as registered principal of licensed bankers and supervisor of the Office of ... drive operational excellence and client-deepening strategies, while adhering to regulatory, securities and supervision laws, policies and procedures. This leader is… more
- Jackson National Life Insurance Company (Nashville, TN)
- …Sales Supervision Manager will work closely with the Chief Compliance Officer and registered representatives on matters of annuity sales referred from Registered ... and alternative distribution methods. The responsibilities of this position include principal review of new account applications, compliance required forms, annuity… more
- Guardian Life (Pittsfield, MA)
- …+ Perform oversight reviews, through testing, of the tasks completed by the Registered Principal and Guardian India team. + Review various control reports ... in investing and the rules and regulations of the securities industry? Do you also enjoy working from home?...oversight through testing of the tasks completed by the Registered Principals. The right candidate will have the ability… more
- MassMutual (Boston, MA)
- **The Opportunity** As a **Suitability Principal ** you will conduct back-office review and firm-acceptance of new and existing business and account maintenance ... Direct and Third-Party Advisory accounts. + Review trading activity of registered representatives through supervisory control procedures and application of firm… more
- JPMorgan Chase (Columbus, OH)
- … AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member ... 60 day condition of employment + If you were registered after October 1, 2018 you must also have...2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and… more