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Brokerage Coordinator jobs

Viewing 1 - 10 of 37 jobs

  • Annuities Broker-Dealer Attorney

    Leading Law Firm - Orange, CT

    A Senior Corporate Counsel job is available with a financial services company in CT and/or NJ (option to work out of either state). Candidates should have 10+ years relevant broker-dealer, FINRA and annuities experience. This is a great...

    18 days ago from IvyExec

  • Advisory Financial Services Manager Broker Dealer Operations

    Multinational Professional Services Firm - New York City, NY

    Principals and/or a regulatory examiner or regulatory coordinator, including the following areas: -Understanding and application of FINRA Rule 4520, SEA 17a-5, 15c3-1 and 15c3-3 to the development of solutions for broker-dealers,...

    30+ days ago from IvyExec

  • ASSOCIATE GENERAL COUNSEL

    Full-service Regional Brokerage and Investment Banking Firm - New York City, NY

    POSITION SUMMARY Associate General Counsel reporting directly to Stifel Co-General Counsels, and supporting management of Miller Buckfire Co., the High Yield Group and other Stifel businesses. MAJOR DUTIES Provide legal advice and services...

    15 days ago from IvyExec

  • Business Unit Compliance Officer, SVP

    Major Credit Rating Agency - New York City, NY

    Role/Responsibilities Acts as interface with the ratings agency business line head and his/her organization, to direct and coordinate all compliance-related activities for the line of business. Acts as the single point of contact for the...

    8 days ago from IvyExec

  • Regulatory and Compliance Attorney

    Laguna Source - Bloomfield Hills, MI

    Regulatory and Compliance Attorney, Law Firm, Greater Detroit Area We are a well-established and growing boutique law firm in the greater Detroit area seeking a regulatory and compliance attorney to stay abreast of all new banking...

    22 days ago from Laguna Source

  • Vice President, Ethics Policy

    Fidelity Investments - Westlake, TX

    retirement planning, portfolio guidance, brokerage, benefits outsourcing and many other financial products and services to more than 20 million individuals and institutions, as well as through 5,000 financial intermediary firms. For more...

    30+ days ago from Fidelity Investments

  • Associate Attorney - Commercial Real Estate RELO OFFERED

    Cybercoders - El Paso, TX

    Associate Attorney - Commercial Real Estate RELO OFFERED We're a Preeminent Rated commercial law firm with offices throughout the South West with a decades long track-record of growth and success. Our clients are a healthy mix of small to...

    7 days ago from CyberCoders

  • Sr. Director, AML Advisor Retail Bank

    Major Diversified Banking Company - Wilmington, DE

    include the bank s lending activities, deposits, payments, brokerage, capital markets, and trust; Perform analysis of ... At least 10 years of AML compliance experience in a bank, brokerage or other financial institutions Capital One is an...

    21 days ago from IvyExec

  • Assistant General Counsel - Private Bank

    Global Securities, Investment and Retail Banking Firm - New York City, NY

    and negotiate several types of products and agreements: brokerage, investment advisors, credit, security interests, and collateral agreements for the Latam platform. Review and bring up to date the Collateral Agreements Direct...

    30+ days ago from IvyExec

  • Regulatory Counsel

    Leading Financial Services Firm - New York City, NY

    The ongoing refinement and maintenance of the world-wide regulatory and compliance program; Advising asset managers and traders on an active trading desk in real time on various legal and regulatory issues; Developing policies, procedures...

    30+ days ago from IvyExec

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