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






Job info
 
Company
Wells Fargo
Location
Boston, MA
Posted Date
Feb 16,2018
Info Source

Experience in a Risk / Compliance role in an Investment Advisory and/or Broker/Dealer business including experience with mutual funds, separate accounts, private funds, investments, and /or trading..

 
Company
Citizens Bank
Location
Canton, MA
Posted Date
Feb 13,2018
Info Source

... broker dealer, investment advisor, and/or insuranceproducts and firm activities. The candidate may also supportregulatory inquiries from State and Federal regulators. Timelinessand coordination of .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 08,2018
Info Source

... Brokerage accounts, Options accounts, 529 plans, Annuities, options and Variable Life submissions ... such as Compliance, Field Inspection, and Regional Supervisory Directors. • Specialized .....

 
Company
MassMutual
Location
Springfield, MA
Posted Date
Feb 08,2018
Info Source

... Broker/Dealer business. Identify opportunity to enhance and update workflows, procedures, and ... Work with legal and compliance, peers, and management to carryout processing of legal orders and .....

 
Company
Citizens Bank
Location
Canton, MA
Posted Date
Feb 07,2018
Info Source

Qualifications Required Skills/Experience 5 years of compliance related experience in a retail broker dealer Preferred Skills/Experience: Experience researching customer complaints..

 
Company
Wells Fargo
Location
Boston, MA
Posted Date
Feb 03,2018
Info Source

... National Broker Dealer (NBD), Independent Broker Dealer (IBD) client segments and enterprise ... also partner with Legal and Compliance to ensure adherence to .....

 
Company
ADPI LLC
Location
Springfield, MA
Posted Date
Jan 11,2018
Info Source

Broker/Dealer and Supervisory experience * Ability to work with offshore resources * SCLC * Srum Master Certification a plus * Compliance background Required Skills: * OFFSHORE * SOFTWARE DEVELOPMENT..

 
Company
MassMutual Financial Group
Location
Springfield, MA
Posted Date
Jun 22,2017
Info Source

... Broker/Dealer business. Identify opportunity to enhance and update workflows, procedures, and ... Work with legal and compliance, peers, and management to carryout processing of legal orders and .....

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