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...
of experience in a compliance or trade surveillance role at a broker-dealer, asset manager, or futures commission merchant (FCM..., and adherence to strict regulatory standards. We are seeking a highly motivated and detail-oriented Compliance Associate...
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...
: 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...Responsibilities Of This Position This Human Resource Specialist Associate based out of New York City must be onsite...
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...
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...
base. We are a SEC-registered securities broker-dealer and member of the Financial Industry Regulatory Authority (FINRA... finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful share...
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...