- Coinbase (Jefferson City, MO)
- …highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...function to support our equities trading product. As a Senior Associate , you will play a critical… more
- Robert Half Legal (San Diego, CA)
- Description Financial Services Company Seeks Senior Attorney Focused on Broker - Dealer Compliance & FINRA Arbitrations About Firm & Position: A ... well-established financial services organization is seeking a Associate General Counsel - Broker - Dealer Regulatory Compliance to join its growing corporate… more
- 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 (Jersey City, NJ)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...Control Manager, you'll have the opportunity to collaborate with senior stakeholders and drive compliance initiatives that impact our… more
- Robert Half Finance & Accounting (Houston, TX)
- Description THE OPPORTUNITY We're seeking a Senior Compliance Associate with a robust background in securities compliance to join our wealth management client. ... A minimum of 5 years of experience in a compliance role at a securities broker - dealer or investment adviser. COST TO ENTER THE GAME + Bachelor's degree in… more
- Ventura County (Ventura, CA)
- …Analysis - Fundamental knowledge of credit risk assessment, issuer evaluations, and broker / dealer compliance requirements. + Technology and Investment Systems - ... investment strategies accordingly. + Negotiation & Relationship Management - Managing broker - dealer relationships to ensure best execution and favorable pricing… more
- Kestra Financial (San Antonio, TX)
- Mission Financial Planners, LLC is seeking a Senior Client Service Associate who will play a pivotal role in driving the firm's growth and operational ... highly organized, detail-oriented, and committed to delivering exceptional client service. The Senior Client Service Associate reports directly to the Financial… more
- JPMorgan Chase (Jersey City, NJ)
- …senior executives outside of Internal Audit and across the firm! As a Senior Internal Auditor, Associate on the Commercial and Investment Banking Finance ... in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes… more
- JPMorgan Chase (Jersey City, NJ)
- …role in enhancing our organization's governance and operational excellence! As a Senior Internal Audit Associate on the Commercial and Investment Banking ... in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes… more
- Kestra Financial (Palo Alto, CA)
- …over the finish line and have a desire to learn, advance, and excel? The Senior Sales Associate reports to the Financial Advisor and is critical in meeting ... in the financial services industry allowing for a good understanding of broker / dealer operations and financial services industry, including but not limited to:… more
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