to join its Regulatory and Compliance group, focused on broker-dealer compliance. This team member will oversee employee-related...'s Solutions Provider award (See link below). About the Role iCapital is looking for a Compliance Associate candidate...
required At least 3 years of compliance experience (broker-dealer preferred) Experience with fixed income products (notably municipal...Summary Siebert Williams Shank & Co., LLC (“SWS” or the “Firm”) (a FINRA-registered broker/dealer) is seeking...
Broker-Dealer Finance Associate or Staff Attorney Location: New York Direct Counsel is seeking a Broker-Dealer... to work with a leading Broker-Dealer Regulatory & Compliance practice, advising financial institutions on complex regulatory...
Position/Title: Associate - Legal and Compliance Pretium Pretium is a specialized investment firm focused..., Seoul, and Sydney. Position We are seeking a legal and compliance professional at the Associate level to join the team...
companies and VC firms THE RIGHT STUFF 3+ years' experience in a compliance role at a broker-dealer, investment advisor... looking for a knowledgeable and hardworking Compliance Associate who has a strong interest in the pre-IPO space and private markets. Since 2013...
Associate to join its Compliance team. The primary objective of this role is to assess business activities and support functions... Qualifications Bachelor's / University degree 3 - 6 years relevant experience with a regulator, broker-dealer or other financial...
Growing clearing broker dealer is seeking a compliance associate to join their growing team. Key Responsibilities...: Support the Compliance Department in implementing and executing activities related to communications, daily trade reviews...
products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor... needs. As a Private Client Investment Associate in J.P. Morgan Wealth Management, you will provide client service...
products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor... their financial needs. As a Private Client Investment Associate in J.P. Morgan Wealth Management, you will provide client service...
years of relevant experience (Registered Investment Advisor or Broker/Dealer) is preferred. Bachelor's degree or equivalent...Description Client Service Associate (Mnahattan, NY) At Edelman Financial Engines, we believe everyone deserves...
: If you have not worked in a Broker-Dealer (Brokerage Firm) you do not meet the required criteria so please "DO NOT APPLY". The right... Must have 2-5 years of current human resources work experience at a Broker-Dealer. Payroll work experience a plus. HUGE...
and system enhancements Support Blackstone’s broker dealer, including deal driven revenue accounting, expenses, reconciliations... as well as SEC reporting and Financial Services industry experience a plus Broker Dealer accounting experience/familiarity...
products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor... their financial needs. As a Private Client Investment Associate in J.P. Morgan Wealth Management, you will provide client service...
products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor... their financial needs. As a Private Client Investment Associate in J.P. Morgan Wealth Management, you will provide client service...
products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor... their financial needs. As a Private Client Investment Associate in J.P. Morgan Wealth Management, you will provide client service...
or related position). Experience with broker dealer activities Experience with GAAP Accounting Standards US CPA certificate... States Salary Range / Rate: $40-$43/hr (USD) Job Description: We are seeking a Senior Associate to join our Finance team...