Broker Dealer Compliance Jobs in Massachusetts | ComplianceCrossing.com
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Broker Dealer Compliance Jobs in Massachusetts






Job info
 
Company
FMR LLC.
Location
Boston, MA
Posted Date
Aug 15,2018
Info Source

At least 8 years of relevant experience at a broker-dealer, bank or transfer agency with experience ideally including risk management, audit, compliance, regulatory examination, or other function .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Aug 09,2018
Info Source

... compliance and legal - supporting both strategic and tactical communication aligned to MMLIS ... to a broker-dealer. * Series 7 or willingness to obtain within 12 months of hire date ..

 
Company
Old Colony Investment Services
Location
Hingham, MA
Posted Date
Aug 08,2018
Info Source

... broker/dealer and vendors for instructions, questions, compliance, processing, and follow-up Client Services • Handle all client calls and types of requests including portfolio inquiries .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Jun 28,2018
Info Source

Description ​​ Conduct back-office review and firm-acceptance of Broker Dealer New Business ... Compliance, Field Inspection, and Regional Supervisory Directors. Specialized regulatory review of .....

 
Company
Carroll Enterprises, Inc.
Location
Worcester, MA
Posted Date
Jun 03,2018
Info Source

Oversee all associated persons' compliance with broker-dealer and industry requirements with regard to issues such as, but not limited to: annual compliance meetings firm element continuing education .....

 
Company
Key Career Services
Location
Boston, MA
Posted Date
Jul 19,2018
Info Source

... Broker-Dealer, to join independently owned firms not affiliated with the brokerage company (regional firms with significantly lower regulatory & compliance burdens), while still leveraging their .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Jun 12,2018
Info Source

Description ​​ Conduct back-office review and firm-acceptance of Broker Dealer New Business ... Compliance, Field Inspection, and Regional Supervisory Directors. Specialized regulatory review of .....

 
Company
Wellington Management Company, LLP
Location
Boston, MA
Posted Date
Jan 26,2018
Info Source

Qualifications Undergraduate degree and minimum of 2 - 5 years of experience with an investment adviser, broker-dealer and/or compliance consultant, preferably to include experience with marketing .....

 
Company
AXA Advisors- NC Corporate
Location
Wellesley, MA
Posted Date
Aug 02,2018
Info Source

... compliance oversight and supervision. In addition, the District Manager will exemplify the ... It is a broker/dealer and the retail distribution channel for AXA Equitable Life Insurance Company .....

 
Company
Marsh & McLennan Companies
Location
Worcester, MA
Posted Date
Jun 04,2018
Info Source

Proficient in all areas of Health & Welfare compliance (i.e. HIPAA, FMLA, COBRA, 5500, DOL, etc ... As a subsidiary of Marsh, the world's largest broker and risk advisor, we provide ..

 
Company
Michael Page USA
Location
Waltham, MA
Posted Date
Jul 27,2018
Info Source

Wealth Management firm seeks Compliance Manager to join a well established and successful firm ... They also have an affiliated broker-dealer. They adopt a holistic approach to wealth management and .....

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