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large international New York law firm founded in 1934 has established a full-service presence. Clients include large corporations and individuals as well as small and medium-sized businesses. The firm represents a wide range of industrial, financial and commercial enterprises, both...
report to the Commercial Broker Dealer Chief Compliance Officer and support three institutional FINRA registered broker dealers. This... role will provide compliance support to the Capital Markets division within the Commercial Bank of Capital One. The broker dealers being suppo...
Key Private Bank SR Relationship Manager - Plymouth Meeting, PA H2: Join Our Team as a Relationship Manager at Key Private Bank Summary: The Key Private Bank SR Relationship Manager is responsible for providing expert advice and personalized...
Private Bank is seeking a Relationship Manager to join our team in Plymouth Meeting, PA. As the primary client advisor, you will work with high net worth clients to develop and implement financial strategies and coordinate with our team of...
Analyst, Risk Monitoring Organization: FINRA (Financial Industry Regulatory Authority)... to $200,200 Location: Any FINRA location (CA, WA, DC,... MD) H1: Join FINRA and Help Protect Investors... H2: Conduct Risk Monitoring and Assessments for FINRA Members in Senior-Level Role......
to any employee at FINRA without a valid written... the sole property of FINRA and no fee will... person is hired by **MEMBERS ONLY**SIGN UP NOW***. Associate Principal... Risk Monitoring - Any FINRA Location Full-time position... with a reputable organization...
About FINRA FINRA is an... in the United States. FINRA works to protect investors... the SEC’s oversight. In its role as investor guardian, FINRA is informed, but not... influenced, by the industry that it regulates. FINRA’s independent regulation pl...
President & Associate General Counsel, Capital Markets Policy - $175,600 to $345,700 (Remove contact information, replace company name with organization, replace firm name with organization, replace department name with department) H1: Vice President & Associate General Counsel, Capital Markets Policy - Apply...
Firm Seeks Experienced Corporate Securities Associate for Multiple Offices Saul Ewing, a leading law firm, is seeking an experienced corporate securities associate to join our expanding securities group. This is an exciting opportunity to join a sophisticated and entrepreneurial...
candidate has 4-5 years of experience in public company regulations, securities offerings, and corporate governance. - Knowledge of national securities exchange listing rules, reporting requirements, and Section 16 reporting is required. - Broker-dealer, FINRA, investment adviser, or fund... formation experien...