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Ideally 3+ years of Sanctions/AML experience with a wealth management, broker dealer, retail and/or private bank, and/or correspondent bank. ideally 3+ years of Sanctions/AML experience with a wealth management, broker dealer, retail and/or private bank, and/or correspondent bank.
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For Wealth Management Compliance roles, experience with a financial institution such as a broker/dealer and/or registered investment adviser. For Banking Compliance related roles, Certified Compliance Risk Manager (CRCM.
$92,114 - $156,880 a yearFull-timeExpandApply NowActive JobUpdated 10 days ago - UpvoteDownvoteShare Job
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Our largest subsidiary, Jefferies LLC, a U.S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986.
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Build relationships with the broker/dealer community to obtain valuable bids and offers from them, facilitate improved new issue allocations, market intelligence and act as a point of contact for the platform.
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Today, more than 1,800 institutional investors and broker-dealer firms rely on us to bring them accurate market data to assist with their trading decisions, connectivity solutions that facilitate straight-through processing and technology services to optimize trading environments.
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As the nation’s leading independent broker-dealer, we offer an integrated platform of proprietary technology, brokerage, and investment advisor services. Core Competencies: MS Visual Studio, Visio, Postman, SoapUI, SQL Server Query executionOracle database SQL knowledgeImplementation experience with AWS for service ppol and AngularExcellent verbal and written communication skills.
Full-timeExpandApply NowActive JobUpdated 4 days ago - UpvoteDownvoteShare Job
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Obtain and maintain appropriate registrations to provide oversight on broker/dealer operations and develop advisor training. Active FINRA Series 24, or 9/10 or ability to obtain in 90 daysActive State Securities Agent Registration (S63 or S66) or ability to obtain within 150 daysActive State IAR registration (S65 or S66) or ability to obtain within 150 daysActive Life and Accident/Health insurance license or ability to obtain within 150 daysProven success driving business growth.
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SUBJECT TO INVESTMENT RISKS, INCLUDING POSSIBLE LOSS OF THE PRINCIPAL 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.
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Equal Opportunity Employer/Disability/Veterans ABOUT THE TEAM Consumer & Community Banking division serves our Chase customers through a range of financial services, including personal banking, credit cards, mortgages, auto financing, investment advice, small business loans and payment processing.
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Execute Closings for the Broker Dealer; Supporting Portfolio Managers. Manage all Back & Middle Office Operations. Must Have Alternative Asset Manager or Hedge Fund Industry Experience. 15 Billion Greenwich Alternative Asset Manager Seeks an Operations Analyst.
$150,000 - $175,000 a yearFull-timeExpandApply NowActive JobUpdated 5 days ago - UpvoteDownvoteShare Job
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Interacts with bank staff, various personnel from the Broker Dealer, annuity and mutual fund vendors. Interacts with bank staff, various personnel from the Broker Dealer, annuity and mutual fund vendors.
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Life Insurance Company of the Southwest is not an authorized insurer in New York and does not conduct insurance business in New York. Equity Services, Inc., Member FINRA/SIPC, is a Broker/Dealer and Registered Investment Adviser affiliate of National Life Insurance Company.
$88,000 - $163,000 a yearExpandApply NowActive JobUpdated 7 days ago - UpvoteDownvoteShare Job
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As a Private Client Advisor in Chase Wealth Management, you will offer comprehensive financial planning and advice to individuals and families. These benefits include comprehensive health care coverage, on-site health and wellness centers, a retirement savings plan, backup childcare, tuition reimbursement, mental health support, financial coaching and more.
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Must have an in-depth knowledge of the life insurance industry, life, DI, annuity products and/or broker dealer knowledge. Must have an in-depth knowledge of the life insurance industry, life, DI, annuity products and/or broker dealer knowledge.
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Together with its subsidiaries, New York Life provides a range of competitive insurance and financial products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency.
$62,400 - $150,000 a yearExpandApply NowActive JobUpdated 4 days ago
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