- 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
- Citigroup (Irving, TX)
- …design of new products to the end-to-end customer experience. + Strong knowledge of wealth management , broker dealer , investment adviser functions ... candidate would have experience auditing financial advisors and supervisory functions of broker dealer or investment adviser firms. + Perform moderately complex… more
- Insight Global (New York, NY)
- …materials and communications. The Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review ... 5 years of relevant work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance experience with a broker / dealer… more
- Edward Jones (St. Louis, MO)
- …and investment advisers to retail clients. Familiarity with regulation from a perspective wealth management , including broker - dealer and investment ... legal advice and guidance to legal, compliance, and business colleagues involving broker - dealer rules and regulations under the federal securities laws,… more
- Raymond James Financial, Inc. (New York, NY)
- …minimum of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially ... of the Private Client Group (PCG), the firm's wealth management unit, and Asset Management...products and an understanding of the market standard risk management practices . Broker - dealer supervisory… more
- TIAA (New York, NY)
- …and/or brokerage as well as product development and management . + Experience in wealth and broker / dealer risk management . + Experience working ... Level** 9IC **Required Qualifications:** + 5+ years of risk management experience in wealth management ,...audit. **Preferred Qualifications:** + University degree + Significant risk management experience within a wealth , trust and/or… more
- Citizens (Johnston, RI)
- …the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. + ... attorney to serve as Associate General Counsel supporting the Wealth Management Division of the Citizens Consumer...legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal… more
- Guardian Life (New York, NY)
- …laws, regulations, and compliance standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment ... the Compliance department's efforts in supporting the implementation of new retail wealth management products and services. + Prepare relevant compliance metrics… more
- Foresters Financial Services (Westbury, NY)
- …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
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