• 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 (Great Neck, 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 (07/25/25)
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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 (05/31/25)
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  • Associate Relationship Manager-New York/New…

    TD Bank (New York, NY)
    …details for this role. **Line of Business:** TD Wealth **Job Description:** The Associate Private Client Relationship Manager (ARM) is a high-touch point of ... on clients who maintain smaller balances with TD. The Associate Private Client Relationship Manager I will...CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to… more
    TD Bank (07/26/25)
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  • Senior Associate General Counsel - Capital…

    US Bank (New York, NY)
    …counsel supporting capital markets products + Experience with securities laws and broker - dealer regulatory matters + Experience with corporate finance, in ... with regulatory authorities, especially the SEC and FINRA + Experience with broker - dealer corporate governance + Familiarity and experience with relevant trade… more
    US Bank (07/23/25)
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  • Associate - Global Coordination Group

    Mizuho Corporate Bank (New York, NY)
    …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... 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 (08/02/25)
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