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We are searching for a motivated CCO to lead the Compliance Department of a FINRA registered broker-dealer, and its affiliated SEC registered investment advisory firm. We are searching for a motivated individual to lead the Compliance Department of a FINRA registered broker-dealer firm.
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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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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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Facilitate new account set up at the custodial and broker dealer level; follow up on fund transfers. Research and follow up on any issues with the Broker/Dealer, WEG Operations, and vendors.
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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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As a Private Client Investment Associate in J.P. Morgan Wealth Management, you will provide client service, operational marketing and administrative support to Private Client Advisors within Wealth Management.
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5 or more years of experience in financial services, preferably in investment-related roles, with a focus on RIA and Broker Dealer business. 5 or more years of experience in financial services, preferably in investment-related roles, with a focus on RIA and Broker Dealer business.
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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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This role reports to the Chief Operating Officer, Wealth Services and Retirement Plan Services. Direct experience with Fidelity and Schwab platforms preferred. This is a hybrid role working 2 days a week out of the Deerfield office.
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The Senior Examiner is pivotal to creating a partnership between the audit team and the leadership teams of each broker-dealer, home office and field supervisors, and the financial professionals in the field.
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Financial Advisors have access to a full range of wealth building, managing and preserving services though the Broker/Dealer, including mutual funds, stocks, bonds, managed accounts, ETFs, REITs, annuities, insurance, and estate planning.
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Develop and maintain policies and procedures to ensure broker-dealer compliance with laws and regulations. 15+ years of Broker Dealer Compliance experience. A highly reputable and rapidly growing financial services organization is looking to add a driven, detailed, and engaging Chief Compliance Officer to its Broker-Dealer team.
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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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Reviews periodicals on the market, fund performance and manager philosophy to engage in topical conversations in the broker/dealer environment. Budgets estimated sales and broker/dealer support expenses on an annual basis.
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