- Capital One (Mclean, VA)
- Associate Broker Dealer Risk Specialist **The Associate Risk Specialists supporting Capital One's Commercial Broker Dealers are highly ... risks to the Company using various compliance surveillance tools and methods. The Associate Risk Specialist's primary responsibilities will be to provide support… more
- Wells Fargo (Mclean, VA)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... **About this role:** Wells Fargo is seeking a Registered Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about the… more
- Ankura (Washington, DC)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... abreast of regulatory changes. We are seeking a Senior Associate , License Maintenance, to join the team. Ideally this...rapidly, able to recognize and escalate technical client or risk issues to project lead; + At ease multi-tasking… more