• Associate , Broker - Dealer…

    SMBC (New York, NY)
    …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 ... Compliance, IT Risk and Training committees. The Compliance Advisory Associate role assists in managing coverage areas or processes...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
    SMBC (07/15/25)
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  • JP Morgan Wealth Management - Private…

    JPMorgan Chase (New York, NY)
    …to offer the best investment solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will provide ... and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are… more
    JPMorgan Chase (09/20/25)
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  • JP Morgan Wealth Management - Private…

    JPMorgan Chase (New York, NY)
    …to offer the best investment solutions to meet their financial needs. As a Private Wealth Associate in Chase Wealth Management, you will offer comprehensive ... and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are made… more
    JPMorgan Chase (08/29/25)
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  • Global Financial Institutions Group, Analyst/…

    SMBC (New York, NY)
    …+ Support the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt Complex to assist in ... role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new… more
    SMBC (08/16/25)
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  • Associate General Counsel

    Citizens (New York, NY)
    …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. ... 10+ years of legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal securities laws, including the… more
    Citizens (10/06/25)
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  • Financial Resource Management Associate…

    Mizuho Corporate Bank (New York, NY)
    …risk capital calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III + Conduct quantitative ... Through its acquisition of Greenhill​, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas… more
    Mizuho Corporate Bank (08/16/25)
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