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Viewing 1 - 10 of 330 jobs

  • Securities Compliance Examiner

    U.S. Securities and Exchange Commission - San Francisco, CA

    program for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. OCIE conducts inspections to foster compliance with securities laws, to detect...

    23 hours ago exclusively on BusinessWeek

  • Securities Compliance Examiner (00815058)

    U.S. Securities and Exchange Commission - San Francisco, CA

    nationwide examination and inspection program for registered self-regulatory organizations, broker-dealers, transfer agents, clearing agencies, investment companies, and investment advisers. OCIE conducts inspections to foster compliance...

    9 hours ago from eFinancialCareers Ltd

  • SECURITIES BROKER-DEALER - FIELD COMPLIANCE OFFICER

    Saxony Securities - St Louis, MO

    its growing team. Responsibilities:Compliance oversight of registered representative activitiesCompliance review of ... investigation and reportingHeightened Supervision of Registered RepresentativesDue Diligence review of investment...

    16 hours ago from ZipRecruiter

  • Registered Client Service Associate

    Associated Investor Services/associated Financial Consultants - Fort Lauderdale, FL

    multiple software programs, including proprietary Broker-Dealer programs for doing trades and looking up client information, MoneyGuidePro, Laser Fiche, Laser App, Morningstar, and Redtail CRM, among othersOperate standard office equipment...

    5 hours ago from ZipRecruiter

  • Compliance Specialist Sr – Broker Dealer/Investment Advisor Group

    Huntington Bancshares - Columbus, OH

    risk, or audit experience in an investment broker/dealer or investment advisory focused company. · FINRA ... team and will support Huntington's broker-dealer and registered investment advisor compliance program. In this...

    11 hours ago from Huntington Bancshares Inc.

  • Broker Transfer Specialist

    Jackson National Life Insurance Company - Denver, CO

    Curian Clearing LLC has an opening for a Broker Transfer Specialist. Curian Clearing provides clearance and settlement ... withdrawals, and account transfers. Curian Capital is a registered investment advisor that provides fee-based...

    10 hours ago from Jackson National Life Insurance Company

  • Compliance Specialist Sr – Broker Dealer/Investment Advisor Group

    Huntington National Bank - Columbus, OH

    Working Title Compliance Specialist Sr – Broker Dealer/Investment Advisor Group Location Columbus, OH, ... and will support Huntington's broker-dealer and registered investment advisor compliance program. In this position,...

    11 hours ago from Huntington National Bank

  • Compliance Senior Associate, Investment Advisory and Broker-

    New York Life - New York City, NY

    in compliance support of NYLIFE Securities LLC (NYLIFE) a registered, full-service broker-dealer. The Senior Associate ... broker-dealer compliance support to NYLIFE Securities LLC. Broker-dealer responsibilities, including assistance with...

    6 hours ago from Job.com

  • Broker Dealer Analyst

    Des Moines, IA

    Broker Dealer Analyst - #216155Job Area:All OtherBusiness Area:Principal FundsLocation:IA - Des MoinesCareer ... you will support all needs and questions of business unit, registered representatives, and clients to ensure...

    14 hours ago from IowaJobs

  • Broker Dealer Analyst

    Principal Financial - Des Moines, IA

    you will support all needs and questions of business unit, registered representatives, and clients to ensure ... concurrently is necessary.Excellent working knowledge of broker dealer operations required.FINRA Series 7 and 24...

    8 hours ago from A Mighty River

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