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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 ...

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 ...

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 ...

Professional, Courteous and respectful attitude in dealing with patients, families and staff * Required: all credentialing documents not limited to but including NYS PA registration and License ...

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 ...

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

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 ...

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 ...

Experience/Knowledge of Yardi is a plus/bonus. 2-4 Years of Experience with Property Management and Leasing Prior Experience Dealing with City of NYC is a plus/bonus. Ability to work on-site M-F ...

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 ...

Candidates with experience dealing with technology companies are a plus. Superior academic credentials and excellent verbal, written, and interpersonal skills required. New York State Bar is required

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 ...

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 ...

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 ...

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 ...

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 ...