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Keep up to date with emerging trends and technologies in the Wealth Management (specifically Broker-Dealer, RIA, and Asset Management), Retirement, Workplace Benefits and recommend changes and improvements as needed.
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Assist the Chief Compliance Officer in administering the firm's compliance programs so as to ensure compliance with all laws and regulations applicable the firm's investment advisory, commodity and/or limited broker-dealer activities in the United States and/or elsewhere.
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Relevant compliance experience with focus on broker-dealer regulation. In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.
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Northwestern Mutual is the marketing name for The Northwestern Mutual Life Insurance Company (NM) and its subsidiaries, including Northwestern Long Term Care Insurance Company (NLTC), Northwestern Mutual Investment Services, LLC (NMIS) (Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company (NMWMC) (Investment Advisory Services), a federal savings bank.
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As member of the AMG, you will be responsible for approving broker dealer, financial institutional, corporates and retail client new accounts, daily; IBHK AMG is accountable for maintaining high quality client data to our sophisticated retail customers, HNWI, financial advisors, hedge fund operators, corporates, and other broker-dealers.
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Buell Securities is a full-service broker-dealer and Registered Investment Advisor located in Glastonbury, CT. Established in 1921, Buell boasts one of the longest successful operating histories of any New England financial firm.
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Experience overseeing SEC and other regulatory exams, as well as working with broker dealer examiners. Previous FINRA/BD experience, including a Series 24, preferred. 10+ years of general compliance experience, with most recent experience being with an RIA firm $2B or larger.
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Deep Experience with Money Transmitters [MSB, FinTech’s, payment companies], consumer lending companies, commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [broker dealer, registered investment advisor, exempt registered advisor] and cannabis is the ideal candidate.
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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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General Description: The Broker Dealer Compliance Specialist is responsible for gathering, organizing, analyzing, and distributing materials used by Compliance Department and line management in the execution of their duties designed to maintain the firm's compliance with federal, SRO, and state securities regulation.
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Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance. The ideal candidate will have 2+ years of experience in the financial services industry allowing for a good understanding of broker/dealer operations and financial services products, including but not limited to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts.
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Includes traveling to and participating in (participation would be defined as, but not limited to: relationship building and firm or product presentations) firm sponsored or broker/dealer sponsored due diligence meetings, and training meetings/sessions.
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As we elevate our broker dealer, IMO and financial professional relationships, this role will be actively collaborating across the business to elevate our value proposition and improve the overall end-to-end experience.
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Previous experience with financial services products and Broker Dealer. Previous experience with financial services products and Broker Dealer. Their primary focus is on life insurance and related financial products, helping individuals and families with protection and planning for their financial futures.
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Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
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broker dealer jobs in Windsor, CT
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