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Brokerage Coordinator jobs

Viewing 1 - 10 of 14 jobs

  • Annuities Broker-Dealer Attorney

    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...

    12 days ago from IvyExec

  • Corporate Counsel

    San Francisco, CA

    We are searching for an attorney to provide advice and support on a variety of legal and regulatory matters arising in the asset management business, with a particular focus on the iShares exchange traded funds (ETF) business. The...

    6 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...

    30+ days ago from Laguna Source

  • Risk Management Analyst

    Health Care Reit - Toledo, OH

    JOB SUMMARY:This newly created position is designed to support the risk manager in all aspects of corporate insurance and risk management programs and will report up to the Risk Manager. ESSENTIAL DUTIES and DETAILED WORK ACTIVITIES:...

    7 days ago from CareerBuilder

  • Compliance Manager, Swap Dealer Compliance

    New York City, NY

    The J.P. Morgan Corporate & Investment Bank Compliance Department is seeking an experienced attorney to join the Swap Dealer Compliance team providing advice to and coverage for derivatives businesses across the U.S. Investment Bank, and...

    24 days ago from IvyExec

  • Associate General Counsel - RBC Wealth Management

    Minneapolis, MN

    and oral communication skillsGeneral understanding of brokerage industry practicesPrior FINRA arbitration experienceWorking knowledge of systems, technology and databases KEY RELATIONSHIPSCoordinate and consult with the Global Dispute...

    10 days ago from IvyExec

  • Wealth Strategies Consultant - RBC Wealth Management

    San Francisco, CA

    Position SummaryThe purpose of this position is to increase PCG estate and high-net worth client business by working with the Financial Advisors (FAs) to leverage their time, talents and resources in gathering and maintaining assets of...

    10 days ago from IvyExec

  • Wealth Strategies Consultant

    Phoenix, AZ

    The purpose of this position is to increase PCG estate and high-net worth client business by working with the Financial Advisors (FAs) to leverage their time, talents and resources in gathering and maintaining assets of high net worth...

    10 days ago from IvyExec

  • Vice President, Corporate Counsel

    Shelton, CT

    Qualifications Candidate will have 7 to 15 years of insurance and securities law experience; Candidate must have an exceptional working knowledge of FINRA rules, insurance laws governing broker-dealers as well as life insurance and/or...

    15 days ago from IvyExec

  • Private Client Fiduciary Advisor

    New York City, NY

    The Private Client Fiduciary Advisor is responsible for managing fiduciary client relationships. Responsible for assessing and managing risk; the appropriate exercise of fiduciary discretion and judgment; and adherence to policies and...

    16 days ago from IvyExec

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