Trabajos broker dealer compliance en Estados Unidos - Page 2

Description: We are seeking a Branch Service Professional to provide industry-leading service to branch personnel by handling incoming calls related to Mutual Funds and 529 products and services. Key Responsibilities: - Deliver outstanding customer service to internal branch partners durin...

___ provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper...

A prestigious and well-established asset manager and broker-dealer, with a growing portfolio of private equity funds, is seeking a dynamic Chief Compliance Officer (CCO) to lead and enhance its compliance program. This is a high-impact leadership role based in New York City, requiring a strong pr...

Our Client is seeking a well-rounded System Admin/ Cloud Engineer to join a high-performing team within a dynamic financial services environment. This is a hands-on, permanent position offering the opportunity to work closely with leadership and play a key role in supporting and evolving the firm...

Since 1933, Stark & Stark has developed innovative legal solutions to meet our clients’ needs. With experienced attorneys in more than 30 practice areas, putting the law to work for our clients is the basis for building and maintaining our practice. Job Summary: Stark & Stark is actively recr...

MUST: - Minimum of 10 years of experience in a senior compliance role within life insurance or annuities (annuities preferred) - Ability and experience meeting with regulators, looking at new regulations coming down the pipeline and how they impact the company - Exposure to global/offshore ...

Industry: Financial Services Title: Fixed Income Specialist - Compliance & Surveillance Location: NYC Type: Fulltime Must have Financial Services industry experience and very strong Fixed Income expertise Responsibilities: • Provide real-time advice and guidance to trading and sales force o...

Prominent financial services firm and registered broker-dealer with offices in Maplewood, NJ, and Midtown Manhattan, is currently seeking to hire two Compliance Surveillance Analysts to join their growing team. These are junior to mid-level roles, offering a competitive base salary along with a d...

Join Western & Southern – Somewhere You Want to Be At Western & Southern, is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career. For more than 135 yea...

About Cresset ___ is a firm built by clients, for clients. As an independent, award-winning multi-family office and private investment firm, we are reimagining the way wealth is experienced. Our purpose is to help ensure that both wealth and life are fully optimized—integrated, intentional, and ...

About Cresset ___ is a firm built by clients, for clients. As an independent, award-winning multi-family office and private investment firm, we are reimagining the way wealth is experienced. Our purpose is to help ensure that both wealth and life are fully optimized—integrated, intentional, and ...

Company. Burnham Sterling & Company LLC (or registered affiliates thereof) (“Burnham”, the “Firm” or the “Company”) is a financial services firm focused capital raising for aviation and other asset intensive industries and is located in Greenwich, CT. The firm enters into engagement agreements wi...

Job DescriptionBroker Dealer Compliance Principal | $70K -$100K | Day Shift | Remote / Hybrid | Direct HireWhat Matters Most - Competitive Pay of $70K - $100K; DOE - Schedule: Monday–Friday, 8:00 AM – 5:00 PM - Location: Omaha preferred; Remote friendly - Direct hire opportunity with career ...

This person supports Financial Advisors (Registered Representatives) with running their day-to-day Investment practice while enhancing the customer service level and experience. This person works directly with the Registered Representative(s) to prepare and process client paperwork, perform clien...

NEOS is seeking to hire an Associate to assist the Chief Compliance Officer to administer and enhance NEOS’s compliance program. This role will work closely with Chief Compliance Officer of the firm, the Chief Compliance Officer of the funds and management on a variety of compliance matters focus...

CREO is a NYC-headquartered not-for-profit with a mission to mobilize and catalyze high-impact capital to drive the necessary transition to a low-carbon, sustainable, and prosperous future for all. To achieve our mission, CREO works with a large ecosystem of global stakeholders, including Mem...

Peterson Cat has an immediate need for an experienced Contract Review Specialist at our San Leandro, CA location. The Contract Review Specialist is responsible for working with Peterson’s in-house counsel to review a variety of legal documents, including customer contracts, in a timely manner. Th...

Job Description We are looking for an Associate Compliance Analyst to support the broker-dealers’ Chief Compliance Officer (CCO) and compliance team. The role is ideal for a high-functioning, energetic professional with compliance experience within a broker- dealer and an understanding of FINRA B...

Job Description The Client Service Associate reports to our Partners and Wealth Managers and is critical to appropriately leveraging Advisors’ time. This position requires excellent customer service skills, problem solving, attention to detail, multi-tasking, and time management skills. This posi...

Job Description The Client Service Associate reports to the Financial Advisor and is critical to appropriately leveraging Advisors’ time. This position utilizes excellent customer service and problem-solving skills to confidently provide information and education to clients in a timely, efficient...

Job Description Who We Are: Oppenheimer & Co. Inc. (“Oppenheimer”) is a leading middle-market investment bank and full service broker-dealer. With roots tracing back to 1881, the Company is engaged in a broad range of activities in the financial services industry, including retail securities bro...

Job Description Are you a highly motivated professional looking to join a dynamic wealth management firm? GreenBridge Wealth Management is seeking a Service Compliance Associate to help maintain and enhance our internal compliance procedures. As a Service Compliance Associate, you will play a key...

Job Description (Job requires to live within 300 miles from the Washington DC metro area - MD/VA/DC/PA/WV/DE/NJ) Are you a leader who has the following traits? • Competitive • Entrepreneurial • Coachable • Communicative • Self-disciplined • Authentic • Speak Spanish and/or Portuguese If ...

Job DescriptionOTC Markets Group Inc. Qualifications Analyst OTC Markets Group – Washington DC - Full Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking a Qualifications Analyst to join our Issuer Services team, in our Washington DC office. We invest heavily ...

Job DescriptionGlobal Advisor Group provides financial planning and wealth management services to clients in all 50 states and over 100 countries across the globe. Our team members, apply their extensive client service experience and deep knowledge of investment management to meet the complex fin...

Broker Dealer - Operations Associate StateTrust Wealth Management is a full-service broker/dealer and financial advisor specializing in Wealth Management and Financial Planning that uses state of the art technology and offers unique personal service. We seek a Bilingual (English/Spanish) Oper...

Reporting to the Regional Director of the Gulf Coast Region and as a key member of Janney’s Private Client Group (PCG)’s senior leadership team, the Complex Director will play a pivotal role in developing the Dallas potentially other markets in Texas recruiting Financial Advisors into an advisor ...

Job Title: Associate Director, Regulatory Reporting & Accounting (Futures) Location: On-site - New York, NY Salary Range: $150,000 - $185,000 base Industry: Fintech Employment Type: Full-Time About the Role: Seeking a highly motivated and detail-oriented Associate Director of Regulatory R...

About Smart Circle: Smart Circle is a leading broker of outsourced sales and customer acquisition services. We help clients and independently owned and operated sales companies grow together through versatile in-person marketing and sales campaigns inside retailers, businesses and through door-t...

Are you a leader who has the following traits? - Competitive - Entrepreneurial - Coachable - Communicative - Self-disciplined - Authentic If the answer is yes, consider becoming an insurance agent* to drive positive impact in the lives of families every day. At New York Life, you’re...

PLEASE NOTE: Applicants are required to hold a current FINRA Series 7 and 66 (or 63/65) in order to be considered. Job Title: Financial Advisor at First Citizens State Bank in Whitewater, WI. Job Summary: A Financial Advisor offers professional financial planning services to clients by anal...

About the job Hold Brothers Capital, LLC, a leading self-clearing broker-dealer, is looking for a Compliance Associate/Officer to join the team. He/she will help with the delivery of expert advice to broker dealers regarding FINRA, SEC and/or state regulatory requirements and regulatory be...

GENERAL SUMMARY The Internal Audit Manager Markets and Securities Compliance is responsible for leading and executing audit engagements related to the BBVA US Operations (NY Branch markets, BBVA Securities broker-dealer,.. related auditing). This role ensures compliance with applicable regulator...

We are seeking a strategic and dynamic leader to join as the Global Head of Investment Banking, Business Section & Conflicts. This role is responsible for overseeing and managing strategic decision-making and conflict resolution across our global investment banking operations. The individual will...

Only candidates with US Work Authorization will be considered. Primary Responsibilities: include the following but is not necessarily an exhaustive list of all responsibilities, duties, performance standards or requirement efforts, skills, or working conditions associated with the job. Manage...

At Lemnis Capital, we value your ambition. We work hard to create a culture where you can move forward as fast as you're capable. Our LC Elite Program is an established management track designed to help accelerate your success as a Wealth Management Associate. After completing the necessary requ...

A culture of growth with a firm that supports You’ve built a successful practice and now you’re considering a move. Perhaps you’re looking for more. At Equitable Advisors, we’d like to get to know and understand you — and help you discover what greater fulfillment you can find — for your clients...

Cornerstone Advisor Group is seeking passionate, driven, and dedicated professionals to join our team of Financial Professionals in Fairfax, VA. As a Financial Services Representative, you will play a pivotal role in helping individuals, families, and businesses achieve financial security and con...

A culture of growth with a firm that supports You’ve built a successful practice and now you’re considering a move. Perhaps you’re looking for more. At Equitable Advisors, we’d like to get to know and understand you — and help you discover what greater fulfillment you can find — for your clients...

Description: We are seeking a Branch Service Professional to provide industry-leading service to branch personnel by handling incoming calls related to Mutual Funds and 529 products and services. Key Responsibilities: - Deliver outstanding customer service to internal branch partners durin...

Job title: Broker Dealer Regulatory Reporting Director Location: Florham Park, New Jersey or NYC Office status: 3x a week Salary: $225,000-240,000 + 20% Bonus Overview: Our client — a leading global bank with a strong U.S. presence — is seeking a Regulatory Reporting Director to join its ...

Anti-Money Laundering Compliance Officer (AMLCO) Location: New York, NY Type: Full-time Department: Compliance The company is committed to maintaining the highest standards of regulatory compliance while delivering exceptional execution services to our clients. Position Overview Company is ...

At Lemnis Capital, we value your ambition. We work hard to create a culture where you can move forward as fast as you're capable. Our LC Elite Program is an established management track designed to help accelerate your success as a Wealth Management Associate. After completing the necess...

Job Description Priority Financial Group (PFG) in its relationship with TruPartner Credit Union, is looking to add a Financial Advisor to work in their Cincinnati Ohio market. The Financial Advisor will receive referrals from the assigned branch team members who are tasked with welcoming new memb...

Optima Partners is looking for an Associate Consultant 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. Considered Candidates Will: - Su...

Contract to Hire We're looking for a seasoned Senior Accountant to take ownership of crucial financial functions, ensuring precision in daily accounting operations and month-end closings. In this role, you’ll handle general ledger reconciliations, process accounts payable/receivable, review c...

A culture of growth with a firm that supports You’ve built a successful practice and now you’re considering a move. Perhaps you’re looking for more. At Equitable Advisors, we’d like to get to know and understand you — and help you discover what greater fulfillment you can find — for your clients...

The Registered Client Associate plays a critical support role within a broker-dealer environment by assisting Financial Advisors in delivering exceptional service to clients. This position is ideal for a FINRA-licensed professional who is detail-oriented, proactive, and client-focused, with a str...