compliance officer advisory and brokerage Jobs - 457


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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Colliers International - New York,NY

Make your next move an expert one.At Colliers it's not our success that sets us apart, it's how we achieve it. Our people are passionate, take ownership and always do what's right for our clients, people and communities.Why Colliers?Our enterprising...

Date : 2024-12-17T23:35:05Z

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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 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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EY - New York,NY

At EY, you'll have the chance to build a career as unique as you are, with the global scale, support, inclusive culture and technology to become the best version of you. And we're counting on your unique voice and perspective to help EY become even...

Date : 2024-12-17T23:35:38Z

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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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Niagara Frontier Transportation Authority - Buffalo,NY

WORK OBJECTIVE:Dedicated professional with ADA and NYS DBE certifications, seeking a dynamic role within the Niagara Frontier Transportation Authority. Leveraging expertise in ADA compliance, a solid understanding of New York State Disadvantaged...

Date : 2024-12-18T23:27:36Z

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Andersen Tax - New York,NY

The FirmUnlock the Boundless Horizons of Tax, Valuation, and Business Expertise with Andersen!At Andersen, we don't just offer a career; we provide a thrilling expedition into the world of Tax, Valuation, and Business Advisory. We stand as a...

Date : 2024-12-17T23:36:47Z

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