- JPMorgan Chase (Columbus, OH)
- As a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, ... you will provide critical analysis and discussion of wealth management -specific regulatory issues, ongoing support of investment products distribution issues,… more
- KeyBank (Brooklyn, OH)
- …laws and regulations across Key's Asset Management activities (ie - wealth management and trust, broker - dealer , and swap dealer ) and lines of ... compliance with regulatory requirements. The Director must have comprehensive knowledge of wealth management , fiduciary/trust, broker - dealer , and… more
- Foresters Financial Services (Dublin, OH)
- …Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- Foresters Financial Services (Cleveland, OH)
- …Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and ... independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and… more
- JPMorgan Chase (Mansfield, OH)
- …their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management , you will be tasked with delivering exceptional client service, ... resolving issues, and providing up-to-date information and assisting the Advisors with ongoing wealth planning for clients and referral source management and new… more
- JPMorgan Chase (New Albany, OH)
- …solutions to meet their financial needs. As a Private Client Advisor in Chase Wealth Management , you will offer comprehensive financial planning and advice to ... those just starting to save to those with significant wealth . You provide an exceptional investor experience by offering...offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA… more
- Huntington National Bank (Columbus, OH)
- …execution and implementation of the Compliance Program for Huntington's Investment Banking Broker Dealers and Huntington's Wealth Management Division ... Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus...Legal. Basic Qualifications: + Bachelor's degree + Experience as broker dealer Chief Compliance Officer or lead… more
- JPMorgan Chase (Columbus, OH)
- …in safeguarding our clients and firm from fraud? As a Vice President in Asset Wealth Management Fraud Management , you'll have the opportunity to design and ... skills will shine. As a Vice President in Asset Wealth Management Fraud Management , you...and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker… more
- Huntington National Bank (Columbus, OH)
- …the delivery of risk strategy and execution for Huntington's Broker / Dealer , Registered Investment Advisor and Trust Investment Management businesses. ... Description The Senior Risk Officer - Investment Management colleague will operate within the Investment ...assessments are conducted, to identify potential risks across the Wealth organization. + Works with other Business Risk Officers… more
- JPMorgan Chase (Columbus, OH)
- **Consumer & Community Bank - JPMorgan Wealth Management Control Associate (Job Code OCCO02, Job Grade 602)** JPMorgan Chase & Co. (NYSE: JPM) is a leading ... what is best for the customer. **About JP Morgan Wealth Management Controls** JP Morgan Wealth...control design that support unique regulatory environment for the broker - dealer subject to oversite by the… more