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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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We are looking for a Director of Regulatory Reporting, a leadership position within the team that is responsible for ensuring the overall integrity of trade and position reporting submitted to the regulators for the Fidelity Broker-Dealers, National Financial and Fidelity Brokerage Services, as well as for correspondent client broker-dealer firms.
$85,000 - $144,000 a yearFull-timeExpandApply NowActive JobUpdated 6 days ago - UpvoteDownvoteShare Job
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1-2 years in Broker-Dealer compliance experience, capital markets compliance or regulatory experience. Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer.
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Interested candidates are encouraged to apply promptly, providing detailed resumes and availability for immediate consideration.
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The chosen candidate will work with 10-15 strategically important RIA or independent broker dealer relationships to assist with iCapital’s alternative investment focused distribution efforts.
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Quick to identify gaps or risk exposures in a dually affiliated broker-dealer and investment advisor and to develop and implement strong checks-and-balances. The Chief Compliance Officer of Park Avenue Securities (PAS) will be responsible for representing the firm to regulatory bodies and other key constituents as well as having responsibility for the overall compliance framework for PAS as a dually registered broker-dealer and investment adviser.
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Voya Financial Advisors ® , Inc., a leading independent broker-dealer in the defined contribution & defined benefit business, is currently seeking a Financial Professional to join our team in the greater Detroit area to work plan sponsor relationships.
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CFS is a broker/dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members. Through our business and indirect lending program, we also service members in other states.
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The position has three primary duties: administrative support to Compliance management (approximately 30% of job), processing individual and corporate regulatory licensing requirements (approximately 30% of job) and supporting broker/dealer compliance oversight responsibilities (approximately 40% of the job.
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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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Partner and influence affiliate CPAs to provide client leads for Investment Management, Life Insurance, Long-term Care Insurance, and other insurance as needed, and in Broker/Dealer business, including Retirement Plans, Annuities, etc.
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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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Be a subject matter expert with respect to Broker Dealer compliance, including but not limited to, marketing, suitability and Reg BI. This is a generalist compliance position that will primarily support a newly registered Broker Dealer as well all aspects of the Firm's businesses.
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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 Today - UpvoteDownvoteShare Job
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The Broker-Dealer Accounting/Regulatory Reporting team for Bernstein Institutional Services is in search of an Intermediate Staff Accountant, Broker Dealer Accounting to join their newly formed U.S. Controller’s team.
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