- 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
- JPMorgan Chase (San Diego, CA)
- …to offer the best investment solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will be ... 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 (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
- Regions Bank (Nashville, TN)
- …+ A background as a paralegal, in a bank trust department, bookkeeper, broker - dealer back office, or RIA practice is desirable. _This position may ... Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …or finance and a minimum of five to seven (5-7) years of experience at a broker / dealer , hedge fund, private equity firm, or similar in a related role ... - External** **Knowledge, Skills, and Abilities:** **Knowledge of:** * Operations of broker dealers, hedge funds, private equity, and similar firms *… more
- 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
- 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
- M&T Bank (Orange, CA)
- …accuracy and handle related vendor communications. Obtain executed program agreements for each broker and dealer , including private label; review the ... within LEAF (LEAF Commercial Capital Incorporated). Maintains the accuracy of dealer records in various internal systems. Provides administrative support, including… more
- Wells Fargo (Doylestown, PA)
- …months of financial services industry experience + Experience in compliance or broker - dealer governance **Job Expectations:** + US only: Registration for FINRA ... this role:** Wells Fargo is seeking a Supervisory Control Associate to join our Client Relationship Group within Wealth...+ Identify issues and provide resolution within Insurance or Private Client Groups + Perform basic or tactical ongoing… more
- 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
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