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TOP 5 Independent Broker Dealer (Financial Advisor Magazine and Investment News) * Wealth Management: $281 billion retail investment client assets held or managed by Northwestern Mutual * Recipient ...

You have basic knowledge of regulations dealing with transportation of hazardous materials * You have demonstrated ability to communicate in both written and verbal form on individual and / or ...

Including providing support for various investment advisers, US CFTC Swap Dealer, and CIRO registered Canadian affiliate. Managing a team of two compliance analysts. Responsibilities * Manage all ...

S. broker dealer, located in Jersey City, NJ, routes orders to approximately 40 exchange and non-exchange market venues, on behalf of a large network of broker dealer clients. To help support and ...

S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our ...

Experience dealing with financial firm regulatory examinations, investigations, and enforcement at a financial firm or as a consultant, lawyer, or regulator. Education and/or Relevant Experience: * 3 ...

Conducting compliance reviews of broker-dealer operations to identify potential regulatory risks, and developing and delivering training programs on FINRA rules and regulations. Policy Development

Public owns its own FINRA-registered broker-dealer. You'll work with Compliance to ensure that we continue to meet our SEC and FINRA obligations. * You'll help interpret relevant laws and regulations ...

S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our ...

... dealing with a variety of trauma situations requiring quick and decisive actions. -Ideal prospective ED RNs must be able to quickly and accurately assess incoming patients with both physical and ...

Must demonstrate a professional, courteous, and respectful attitude in dealing with patients, immediate supervisor, and other employees. * Practice accepted infection control measures in accordance ...

Must demonstrate a professional, courteous and respectful attitude in dealing with patients, immediate supervisor, and other employees. * Practice accepted infection control measures in accordance ...

Madison Avenue Couture is the leading online independent dealer of pristine Hermes handbags and accessories in the USA. We also carry a small collection of Chanel and other ultra-luxury pristine ...

The Construction Administrator is authorized to speak for the firm when dealing with a Client or Contractor in matters concerning the interpretation of the contract documents and is directly ...

Demonstrates proper professional expectations for team members when dealing with client requesters and client work requests, including meeting deadlines and delivering high-quality work * Responsible ...

Cirrus Real Estate Partners' actions are based on the firm's core values: fair dealing, fiduciary responsibility and mutual respect. Cirrus' value-based investment approach is grounded in a deep and ...

Two years dealer experience conducting Blackjack, Dice, American Roulette, Caribbean Stud Poker and various other casino games. * Ability to rapidly discern the numbers on dice, cards, wheels, etc ...

That could be from a competitor bank or broker-dealer or it could be from the buy side or it could be from a law firm. They need specific experience of working with these type of securities to be ...

High levels of integrity and discretion in handling confidential information is a must and a high degree of professionalism in dealing with senior professionals inside and outside the company is ...

The ideal candidate will be a proven CPG sales leader dealing directly with Operations VPs. CMA selling experience is required * 5+ years of Direct Store Delivery (DSD) and Beverage category ...

Experience with dealing with celebrities and high-profile events is useful. * Ability to work effectively under time constraints and deadlines * Enthusiastic, highly motivated and a proactive team ...

Ad hoc analyses to solve new problems which may require iterative analyses and dealing with potential uncertainty. Qualifications * 5-7 years of relevant work experience in the financial services ...

Active monitoring of advisory and broker-dealer activities to ensure compliance with policies & procedures * Deep knowledge and administration of the firm's compliance testing program under 206(4)-7 ...

Rate: $70/hour Onsite 1 day per week in Hoboken * Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements. * Assisting the development and refinement of M&T ...