compliance officer advisory and brokerage Jobs - 410


MassMutual - New York,NY

The Opportunity As an Investment Risk Consultant, you will join a team that is focused on managing investment policies for the firm's investment advisory programs, as well as related brokerage and insurance related products...

Date : 2024-12-23T03:32:59Z

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Edward Jones - East Patchogue,NY

Job Overview If you find yourself at a professional crossroads, a career as a financial advisor may be the right change for you. Financial advisors partner with clients to help them achieve their long-term financial goals:...

Date : 2024-12-10T21:18:06Z

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Santander Holdings USA - New York,NY

Central Compliance, Vice President- Corporate & Investment Banking Country: United States of America The Central...

Date : 2024-12-23T03:33:01Z

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Sumitomo Mitsui Financial Group - New York,NY

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has...

Date : 2024-12-20T08:26:27Z

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Michael Page - New York,NY

This is an ongoing contract for a large global bank that is seeking an individual with Sanctions Advisory experience. This consultant will be responsible for conducting thorough research and analysis of OFAC and export control regulations, review any...

Date : 2024-12-22T00:13:09Z

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SMBC - New York,NY

SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with a 400-year history, SMBC Group offers a diverse range of financial services, including banking, leasing, securities, credit cards, and consumer finance. The Group has...

Date : 2024-12-18T20:49:27Z

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Wells Fargo - Syracuse,NY

About this role:Wells Fargo is seeking a Client Associate in Wealth and Investment Management as part of Wells Fargo Advisors. Learn more about our career areas and lines of business at wellsfargojobs.com.In this role, you will:* Assist Financial...

Date : 2024-12-17T23:36:36Z

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Sumitomo Mitsui Banking Corporation - New York,NY

Fixed Income Compliance Officer Job Level: Director Job Function: Governance & Assurance Location: New York, NY, US, 10172 Employment Type: Full Time Requisition ID: 3407 SMBC Group is a top-tier global...

Date : 2024-12-18T20:54:20Z

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Fernridge Group - New York,NY

Title: Compliance Associate/Officer Firm: $50B+ Alternative Asset Management Firm Location: Greenwich, CT and New York, NY Job Overview: Our client,...

Date : 2024-12-21T05:13:27Z

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dub - New York,NY

About dub Founded in 2021 in NYC, dub is building the first social investing marketplace by providing a simple way to share, reward, and invest alongside the best portfolios and minds in asset management. dub's innovative...

Date : 2024-12-09T19:36:06Z

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