Broker Dealer Jobs in Virginia
1 - 9 of 9
Search Results - Broker Dealer Jobs in Virginia
Mitchell Martin-Petersburg (VA)
involves project management, providing guidance on regulatory requirements, and implementing compliance best practices. The Compliance Advisor will also assist with internal compliance initiatives related to investment advisory and broker-dealer programs...
resume-library.com -
Genworth-Richmond
Richmond, VA
YOUR ROLE
The Compliance Manager will be part of the Commercial Compliance team that provides a diverse array of compliance support to our CareScout Services, CareScout Insurance, and US. Life Insurance divisions along with our broker-dealer...
New York Life-Vienna (VA)
subsidiaries, New York Life provides a range of products, including life insurance, annuities, long-term care insurance, disability income insurance, and investment products such as mutual funds^(1) through our broker-dealer arm, NYLIFE Securities LLC (member...
talentnest.com -
11 similar jobs: Virginia Beach, Dunn Loring, Mclean, Arlington, Richmond...
Herndon (VA)
is in good order
• Places trades as necessary
• Searches for cross-sell opportunities back to the credit union or subsidiaries based on the client’s needs
• Maintains compliance with all NWFG, NWFA and broker-dealer policies and procedures, and all rules set...
nwfcu.org -
Virginia Beach
Preferred)
Must be able to be affiliated with our Broker Dealer. (Required)
Knowledge, Skills, and Abilities
• Knowledge of mathematics sufficient to process account and transaction information. (Required)
• Ability to use appropriate interpersonal styles...
icims.com -
Kestra Financial Independent Advisor-Richmond
scheduling, and post-meeting documentation.
• Successfully partner with Broker Dealer & Investment Partners for new account establishment, maintenance, and compliance.
• Process, submit, and service all account paperwork/requests; follow through to completion...
workable.com -
Virginia Beach
Investment Brokerage Services), a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank.
NM and its subsidiaries...
icims.com -
Herndon (VA)
as necessary
• Searches for cross-sell opportunities back to the credit union or subsidiaries based on the client’s needs
• Maintains compliance with all NWFA and broker-dealer policies and procedures, and all rules set forth by FINRA, SEC and applicable state...
nwfcu.org -
New York Life-Tysons Corner
such as mutual funds through our broker-dealer, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency. You will be required to hold securities licenses and FINRA registrations and affiliate with NYLIFE Securities as a registered...
talentnest.com -
15 similar jobs: Hollywood, Vienna, Fairfax, Merrifield, Boca Raton...
Companies now hiring in Virginia:
Broaden your job search:
Don’t miss out on new job openings!
Create a job alert for: Broker Dealer, Virginia
It's free, and you can cancel email updates at any time