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We are a seeking a Senior Compliance Officer experienced in broker dealer compliance functions that support the Operations, Finance, and Information Technology departments. Prior experience at a self-clearing broker dealer and experience working with BETA are a plus.
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Experience establishing communication and engagement with prospects and industry knowledge will be paramount from an understanding of FMO Distribution to a working knowledge of broker-dealer and RIA distribution opportunities.
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Knowledge and understanding of regulatory compliance requirements surrounding broker dealer roles and FINRA Rules. Design and format materials, serve as brand steward, and WF Writing Guide editor for ICC.
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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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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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Identifying and partnering with key local Centers of Influence, as well as key broker/ dealer personnel to expand the breadth and depth of existing relationships and increase client access to maximize sales opportunities.
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The Corporate Audit Services (CAS) Senior Audit manager for Wealth Management and Investment Services products is a senior level management position that is responsible for leading the audit team owning the Personal Trust, Asset Management, and Broker Dealer products.
$165,325 - $213,950 a yearFull-timeExpandApply NowActive JobUpdated 18 days ago - UpvoteDownvoteShare Job
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Knowledge of laws and regulations related to broker dealer responsibilities with regard to insurance and annuity products preferred. Our unwavering focus on our clients and strong financial foundation connects each of our unique businesses - Ameriprise Financial Services, Columbia Threadneedle Investments and RiverSource Insurance and Annuities.
Full-timeExpandApply NowActive JobUpdated 16 days ago - UpvoteDownvoteShare Job
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Preferred QualificationsFamiliarity with insurance and financial services industry, Broker/Dealer regulatory requirements, Insurance regulatory requirements, compliance policies and procedures.
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Prior financial services industry experience preferred (wealth management, investment management, broker-dealer, insurance, banking, specialty finance) Finance Manager, Financial Planning & Analysis.
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The Remote Administration program is a service offered to the independent businesses leveraging Cetera as their broker dealer and offers full-service managed IT. This role will own the managed network infrastructure and lead design, configuration, implementation, and troubleshooting of the managed network infrastructure.
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This individual will be a key member of the External Reporting management team that is responsible for sustaining an environment that produces timely, accurate and complete external financial reports required by Wells Fargo & Company and its subsidiaries (the Company) including Regulatory and Basel Reporting, Broker Dealer Reporting, and Regulatory Reporting Interpretations.
Full-timeExpandApply NowActive JobUpdated 17 days ago - UpvoteDownvoteShare Job
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Work with outside vendors and the institution's broker dealer to follow up on items in process, resolve account notifications, and research various issues on behalf of assigned Wealth Advisors.
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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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This position will support the firm’s Broker Dealer and Registered Investment Adviser compliance program in the Minneapolis office (hybrid minimum in office 3 days a week). Utilize technology resources to improve compliance functions including monitoring, testing, and reporting for both the Broker Dealer and Registered Investment Adviser portions of the business.
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broker dealer jobs in St Paul, MN
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