as a paralegal or associate at a large asset manager who is a registered adviser and broker-dealer, strongly preferred, including... will work with the Fund Formation and Broker-Dealer entity to support Vista’s marketing and investor on-boarding functions...
Broker-Dealer. You will also have an opportunity to help develop, implement and drive effective and efficient Compliance...ABOUT THE ROLE YieldStreet is looking for a Compliance Associate to work with and report to the Regulatory...
Associate will include, but are not limited to: Supporting compliance efforts related to supervisory oversight, training... for a SEC registered or FINRA member broker-dealer. Series 7 and 14 required; other regulatory licenses desired. Experience...
and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member... their financial needs. As a Private Client Investment Associate in J.P. Morgan Wealth Management, you will provide client service...
within a multi-faceted international financial services institution (preferably large international broker dealer, private banking... across the organization in a multi-site matrix environment Extensive experience in Financial Services (Broker Dealer, Retail...
within a multi-faceted international financial services institution (preferably large international broker dealer, private banking... across the organization in a multi-site matrix environment Extensive experience in Financial Services (Broker Dealer, Retail...
& trading activities. Knowledge of Broker Dealer rules and regulations, which include but not limited to SEC, FINRA, CFTC, NFA... Supervision (CMS) is responsible for directing, leading and operating the First Line of Defense’s Operating Group Compliance...
is required (broker/dealer, capital markets, banking, etc). Strong understanding of accounts payable processes, including invoice... a detail-oriented and efficient Accounts Payable Associate to join the finance team, the ideal candidate will have 3-6 years...
), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made available through Chase Insurance... their financial needs. As a Private Client Investment Associate in JPMorgan Wealth Management, you will have the opportunity...
/Broker Dealer firm and have a passion for delivering outstanding client service. You will be responsible for: Nurture..., & processing cash raises across RIA & BD clients Work with client types including direct/retail investors, broker dealer platforms...
and technology, risk management tools) to the firm's hedge fund, institutional and broker dealer clients across multiple asset... with legal, compliance, operations and trading teams on client issues Understand client reporting needs Train clients on new...