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Three to five years of relevant broker-dealer and/or investment banking compliance or regulatory experience. The firm is the No. 1 investment bank for global M&A transactions under $1 billion, the No. 1 M&A advisor for the past eight consecutive years in the U.S., the No. 1 global restructuring advisor for the past nine consecutive years, and the No. 1 global M&A fairness opinion advisor over the past 25 years, all based on number of transactions and according to data provided by Refinitiv.
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Securities and advisory services are offered through Cetera Advisor Networks LLC, member FINRA/SIPC, a broker-dealer and registered investment adviser. Securities and advisory services are offered through Cetera Advisor Networks LLC, member FINRA/SIPC, a broker-dealer and registered investment adviser.
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1 – 2+ years of relevant experience working with high-net worth individuals a plus; preferably with a Registered Investment Advisor (RIA), investment management firm or broker/dealer. 1 – 2+ years of relevant experience working with high-net worth individuals a plus; preferably with a Registered Investment Advisor (RIA), investment management firm or broker/dealer.
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This position leads the sales activities and efforts of F2F distribution through registered representatives in the independent broker dealer (IBD) and bank/credit union channels. Existing relationships in the independent broker dealer (IBD) space is preferredFINRA Securities Industry Essentials Examination, Series 6 and 63 licenses required.
$58,800 - $97,900Full-timeRemoteExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Successful track record of wholesaling fee based advisory services to Broker Dealer Registered Representatives and RIA’s. Establish relationships with new or existing clients across a range of size and production levels Building strong relationships with key centers of influence within each broker dealer.
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Minimum of 1 year working at an RIA or broker-dealer, ideally in a support or operational role. We have completed our transition from a large broker-dealer and are continuing to grow rapidly.
$75,000 - $95,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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T3 Trading Group, LLC is an SEC-registered broker-dealer & member of FINRA/SIPC. We are recruiting experienced proprietary traders and seasoned active trading professionals looking to make the next investment in their career.
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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.
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CFTC/NFA and FINRA (e.g. broker-dealer) rules, and other regulators experience also a plus. Optima Partners is looking for a Senior Associate to support clients on regulatory compliance matters for some or all of the following: asset managers, hedge funds, private equity, venture capital, real-estate, credit managers, banks and broker-dealers.
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10+ years experience at a registered broker-dealer, investment manager, or US bank. Act as the gatekeeper and chaperone with respect to permitted conversations between the restricted groups of employees and potential compliance issues arising out of monitored interactions.
$145,000 - $165,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC. Marketplace and brokerage services provided by Acervus Securities, Inc., an SEC registered broker‑dealer and member FINRA / SIPC.
$108,000 - $161,000 a yearFull-timeExpandApply NowActive JobUpdated 1 month ago - UpvoteDownvoteShare Job
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable, 25-year track record of serving the investment needs of credit unions and their members. We're ranked as one of the top broker-dealers in the industry and we work with some of the top financial institutions in the country.
$40,000 - $45,000 a yearFull-timeExpandApply NowActive JobUpdated Today - UpvoteDownvoteShare Job
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Comprehensive knowledge and understanding of broker-dealer channel. Wells Fargo is seeking a Client Performance Analyst 1 in Wealth and Investment Management as part of Wells Fargo Advisors.
$52,900 - $94,100 a yearFull-timeExpandApply NowActive JobUpdated 29 days ago - UpvoteDownvoteShare Job
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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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Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC.
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