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Full-service Regional Brokerage and Investment Banking Firm jobs

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  • Licensed Financial Specialist - Hawthorne

    PNC - Louisville, KY

    investment needs. Additionally, you will respond and resolve client questions, complaints and concerns, while ... 65), and State Life and Health licenses required Retail banking experience preferred Minimum of 2 years experience in...

    1 hour ago from PNC Bank

  • Institutional Sales Assistant - UBIS Institutional Brokerage Sales

    Union Bank - Los Angeles, CA

    Give quotes off terminals and/or collaborate directly with traders to establish firm bids and offers in this role; recom ... by securities industry regulations, and firm and bank policies and procedures Trading (50%) Assist in creating...

    8 days ago from Union Bank

  • Investment Banking Compliance - AVP / VP

    Compliance Search Group - New York City, NY

    Investment Banking Compliance – AVP/VP A Global bank seeks an Investment Banking Compliance (IB) – AVP/VP who will be re ... laws and regulations. Extensive knowledge of investment banking activities and in-depth product knowledge a plus Team...

    1 day ago from The Ladders

  • Licensed Financial Specialist - Valley Station

    PNC - Louisville, KY

    investment needs. Additionally, you will respond and resolve client questions, complaints and concerns, while ... 65), and State Life and Health licenses required Retail banking experience preferred Minimum of 2 years experience in...

    1 hour ago from PNC Bank

  • Global Compliance Services & Strategy - Investment Bank

    Compliance Search Group - New York City, NY

    the firm’s mission to live out agreed values and purpose and meet regulatory requirements. Investment Bank Policies ... and key stakeholders regarding regulations and firm requirements. • Liaise with Compliance Advisory teams and functions...

    4 days ago from The Ladders

  • Licensed Financial Specialist - West Linton

    PNC - Delray Beach, FL

    investment needs. Additionally, you will respond and resolve client questions, complaints and concerns, while ... 65), and State Life and Health licenses required Retail banking experience preferred Minimum of 2 years experience in...

    1 hour ago from PNC Bank

  • Licensed Financial Specialist - East Boulevard

    PNC - Charlotte, NC

    investment needs. Additionally, you will respond and resolve client questions, complaints and concerns, while ... 65), and State Life and Health licenses required Retail banking experience preferred Minimum of 2 years experience in...

    11 days ago from PNC Bank

  • Senior Risk Manager - Investment Risk

    US Bancorp - Minneapolis, MN

    Insurance delivering financial planning, personal trust, investment management and retail brokerage services targeted ... • Ability to build and manage a team of Risk/Compliance managers and professionals who have credibility and work directl...

    21 days ago from OneWire

  • Investment Banking Associate - Diversified Industrials

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

    junior staff Participate in recruiting, reviews, mentoring, and firm committees Qualifications Must have three to five ... opportunities Significant exposure to the public financing and M&A transaction analytics and processes Strong ability...

    29 days ago from IvyExec

  • Asset Management, Client Service Associate, Private Banking, Series 7 & 63 Required

    JP Morgan - US - Chicago, IL

    including investment management and brokerage, tax and estate planning, banking and credit, capital raising, ... and inquiries accurately, within established deadlines and in accordance with firm and business policies and...

    16 days ago from eFinancial Careers

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