- Principal Financial Group (Des Moines, IA)
- …with partners located nationally in this role! + Provide daily phone support to Principal Securities registered reps and their clients related to brokerage ... role, you'll provide prompt, courteous and excellent service to registered representatives, investment advisors and clients by solving problems...accounts holding a wide array of securities . Respond to questions and resolve problems relating to… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …Bancorp. Mitigate risk of loss and regulatory risk incurred by Fifth Third Securities . Responsible and accountable for risk by openly exchanging ideas and opinions, ... + Approves or rejects a subset of business processes including rollovers, securities and / or insurance transactions for the broker-dealer, investment advisor and… more
- Citigroup (Irving, TX)
- The Business Risk Officer - Central Review Unit Supervisory Principal role in Citi Global Wealth is a seasoned FINRA-licensed securities professional role ... for executing day-to-day supervisory activities across a group of Registered Representatives. Applies in-depth disciplinary knowledge, contributing to the… more
- Morgan Stanley (Tampa, FL)
- …financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve ... Morgan Stanley's Virtual Client Solutions (VCS) business is seeking a Registered Client Resolution Associate to assist with deescalating and resolving client… more
- Principal Financial Group (Des Moines, IA)
- …or 26 (or equivalent), as required by applicable state law to become IAR with Principal Securities , Inc.'s RIA . You'll be required to become a non- registered ... assurance program Operating at the intersection of financial services and technology, Principal builds financial tools that help our customers live better lives. We… more
- Morgan Stanley (New York, NY)
- …Plans that contemplate and plan for disruption to business activity - Provide Registered Principal (S24) oversight for internal and external marketing, sales, ... financial services firm providing a wide range of investment banking, securities , investment management and wealth management services. The Firm's employees serve… more
- JPMorgan Chase (Columbus, OH)
- … AMOUNT INVESTED Investment products and services are offered through JP Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member ... 60 day condition of employment + If you were registered after October 1, 2018 you must also have...2018 you must also have a valid and active Securities Industry Essential (SIE) exam + A valid and… more
- SMBC (Jersey City, NJ)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK,...+ We are currently seeking a talented and motivated Principal Data Engineer to join our Cloud data solutions… more
- JPMorgan Chase (Upper Arlington, OH)
- … AMOUNT INVESTED Investment products 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- JPMorgan Chase (Leawood, KS)
- … AMOUNT INVESTED Investment products 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- JPMorgan Chase (Seattle, WA)
- … AMOUNT INVESTED Investment products and services are offered through **J.P. Morgan Securities LLC (JPMS)** , a registered broker-dealer and investment advisor, ... member of FINRA and SIPC. Annuities are made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies… more
- JPMorgan Chase (Oak Park, IL)
- … AMOUNT INVESTED Investment products 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more
- JPMorgan Chase (Jacksonville, FL)
- … AMOUNT INVESTED Investment products 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 available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under… more