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Lincoln Investment is a full-service Broker-Dealer, Registered Investment Adviser whose financial professionals offer a wide variety of retirement plan accounts, investment advisory services, college savings plans, insurance products and non-qualified investments.
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Experience covering wirehouse and broker-dealer advisors in a client facing capacity. When you join New York Life Investments, a wholly owned subsidiary of New York Life Insurance Company, you are joining a global investment company with a long history and passion for career development, innovation, collaboration, and diversity, equity and inclusion.
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Establishing and nurturing relationships with clients and key influencers within broker-dealer networks. Strong understanding of the investment industry, particularly in the RIA fee-based/advisory business.
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Experience as a member of a broker/dealer operations team strongly desired. If you have an intuitive understanding of trade operations, can see the downstream implications of trading decisions, and want to provide a high-quality experience for your teammates and clients, we want to hear from you.
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CFS (Member FINRA/SIPC) is a broker-dealer and RIA with a stable track record of serving the investment needs of credit unions and their members. 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.
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Review exception reports to ensure broker-dealer and RIA compliance. You will be responsible for having a comprehensive understanding of the supervisory and compliance obligations associated with the broker-dealer, registered investment advisory, as well as insurance business, to enforce the firm’s compliance policies and procedures.
$100,000 - $125,000 a yearFull-timeExpandApply NowActive JobUpdated 16 days ago - UpvoteDownvoteShare Job
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The Impact As a Compliance Director, you will effectively communicate with the firm’s associates, offering guidance on compliance concerns and supervisory guidelines. The Compliance Director is responsible for completing a wide variety of compliance and assigned supervisory tasks with respect to the agency’s securities business through MML, Investors Services, LLC. (MMLIS) and its insurance business with Massachusetts Mutual Life Insurance Company (MassMutual.
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Maintain compliance with all applicable bank, broker/dealer, State and Federal regulations associated with the sale of investment and insurance products including Santander Policy Statement governing the sale of uninsured products.
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Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured Products Policy Statement and all applicable state and federal regulations.
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Minimum of 5 years of relevant experience in compliance within a FINRA regulated broker dealer or similar financial institution. Perform special projects at the request of the Chief Compliance Officer or AML Compliance Officer.
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As a trusted leader, the Compliance Director, Regulatory Exam Response will provide direction to a dynamic team of compliance professionals focused on carrying forward the tone for regulator engagement and exam and inquiries response on behalf of Vanguard Marketing Corporation, an affiliated self-clearing broker dealer and distributor of Vanguard products.
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10+ years working as in-house compliance officer, compliance consultant with an investment adviser, broker-dealer, or other registrant, or with a regulator (SEC, FINRA) The Compliance Services group provides a full range of solutions to investment advisers and broker-dealers in managing their compliance programs.
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Superior knowledge of financial analysis, risk evaluation, loan documentation. Financial Advisor, Lehigh Valley PA Area. Degrees such as an MBA, CFP, CHLU or CHFC preferred. Occasional moving and lifting equipment and furniture is required to support onsite and offsite meeting setup and teardown.
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FINRA Series 7 and 66 (or 63 and 65) are nice to have. as we would like to meet the very best candidates immediately. Our firm is a close, tightly knit team which interacts collaboratively to deliver best-in-class services to our clients.
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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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broker dealer jobs in Allentown, PA
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