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Registered Broker jobs

Viewing 1 - 10 of 57 jobs

  • Broker-Dealer Chief Compliance Officer (St. Louis

    Broker-dealer - St Louis, MO

    advisors nationwide. Job Description: St. Louis based broker-dealer seeking an experienced compliance professional ... compliance supervisor activities and their supervision of registered representative activities Compliance review of...

    13 hours ago from ZipRecruiter

  • BROKER-DEALER COMPLIANCE OFFICER (Securities Licenses 7 & 24 Required)

    Saxony Securities - St Louis, MO

    Company Description: Saxony Securities, Inc., member FINRA/SIPC, is an independent, privately owned broker dealer headqu ... investigation and reporting Heightened Supervision of Registered Representatives Due Diligence review of...

    13 hours ago from ZipRecruiter

  • Sr. Compliance Officer- Broker Dealer (consultant)

    Major, Lindsey & Africa - New Jersey

    and monitoring regulatory and legal compliance for Broker-Dealer activity. Interface with Legal Department ... securities law requirements that apply to a registered broker-dealer. Also interface with federal and state...

    53 minutes ago from Major, Lindsey & Africa

  • Health Planning & Support Telephonic RN

    Humana - Phoenix, AZ

    in collaborative problem solving. Acting as both a broker and consultant regarding resources, you engage others in problem solving without taking over. Is Accountable: You meet clearly stated expectations and take responsibility for...

    4 hours ago from

  • Clinical Nurse Liaison (RN) - Seattle or

    Humana - Spokane, WA

    others in collaborative problem solving. Acting as both a broker and consultant regarding resources, you engage others ... business-related field or work experience equivalent. Registered Nurse, licensed in either WA, OR, ID or UT.

    5 hours ago from HEALTHeCAREERS Network

  • Registered Sales Assistant - Neenah.

    Associated Bank - Neenah, WI

    Equal Opportunity Employer The employment policy of Associated Banc-Corp, and its subsidiaries and affiliates ("Associated") provides equal opportunity to all persons. We support a diverse and inclusive work environment where colleagues...

    21 hours ago from Professional Diversity Network

  • Nurse Practitioner Physician Assistant - Maryland

    network of 129 Physician Coordinators. Founded in 1995, and registered in all 50 States, Clinical Corp is in the business of writing, coding, licensing and managing medical pharmacy software. Clinical Corp Coordinators upload weekly HIPAA...

    4 hours ago from

  • Clinical Programs Mgr - 104083SY

    Anthem - Norfolk, VA

    Job Description Your Talent. Our Vision. At Amerigroup, a proud member of the Anthem, Inc. family of companies focused on serving Medicaid, Medicare and uninsured individuals, it's a powerful combination. It's the foundation upon which...

    22 hours ago from Anthem, Inc

  • Sales Director

    Vanderbilt Financial Group - Woodbury, NY

    Full service retail Broker-Dealer located in Woodbury, NY seeks an energetic and enthusiastic Sales Manager. ... Skill Requirements: * Insurance & Mutual Fund knowledge * Registered Investment Advisory (RIA) knowledge * National...

    3 hours ago from Hireology

  • Customer Processing Assoc. - Pershing CSD Sec Info/ Pricing

    BNY Mellon - Lake Mary, FL

    scenes to power transformational change for broker-dealers, registered investment advisors, independent financial advisers, hedge fund and '40 Act fund managers and individual investors. We strive to be innovators, developing open...

    3 hours ago from BNY Mellon