- 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
- Regions Bank (Atlanta, GA)
- …Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit ... Insurance + Parental Leave + Employee Assistance Program + Associate Volunteer Program Please note, benefits and plans may...terminated with respect to all or any class of associate at any time. To learn more about Regions'… more
- JPMorgan Chase (Whittier, 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
- SMBC (New York, NY)
- …+ Support the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt Complex to assist in ... role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new… more
- Citizens (Boston, MA)
- …aspects within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. ... 10+ years of legal experience with substantial experience in the RIA and Broker - Dealer space. + Thorough familiarity with federal securities laws, including the… more
- T. Rowe Price (Owings Mills, MD)
- …of mutual funds, exchange traded funds, private placement agent activities, dealer /manager of business development company, and introducing broker / dealer ... of knowledge of the FINRA, SEC, MSRB and state broker dealer regulatory requirements and landscape, strong...and needs, at work and in life. As an associate , you'll be supported with resources , benefits ,… 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
- Insight Global (Tampa, FL)
- Job Description A large broker - dealer and registered investment advisor firm local to the Tampa area is looking for 2 Compliance Associates to sit within the ... more about how we collect, keep, and process your private information, please review Insight Global's Workforce Privacy Policy:… more
- Mizuho Corporate Bank (New York, NY)
- …risk capital calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III + Conduct quantitative ... Through its acquisition of Greenhill, Mizuho provides M&A, restructuring and private capital advisory capabilities across Americas, Europe and Asia. Mizuho Americas… more
- T. Rowe Price (Baltimore, MD)
- …unit and will report to the Head of Alternative Investment Specialists for Broker / Dealer + This role is directly responsible for distribution of alternative ... CAIA, CIMA) + Previous experience and proven success with fundraising through Broker / Dealer relationships FINRA Requirements FINRA licenses are required and will… more
- The Hartford (Wayne, PA)
- …Group, Inc. and its subsidiaries, which include two registered investment advisers, a broker - dealer , and a transfer agent. Hartford Funds is the sponsor of ... other US federal securities laws applicable to registered investment companies, private funds, and investment advisers. Familiarity with the rules and regulations… more