Financial Manager, Branch or Department Career Research and Resources
Nestor Consulting Services
Provide compliance outsourcing services to securities broker-dealers and investment advisors and insurance companies. Assist broker-dealers in taking proactive steps required to identify, assess and reduce areas of risk. Evaluate the aspects of the firm’s business subject to regulatory compliance. Services include on-site mock regulatory testing of client systems and procedures.
Avg. Salary: $112,500 · Company Rank: Not Available
Investors Capital Corporation
Chief Compliance Officer for both the Investment Advisor and Broker/Dealer entities for an nationwide independent firm offering a range of products from traditional to alternative investment opportunities. Responsible for the integration of supervisory and compliance policies within the field force. Provide continuous and ongoing information, advice and assistance to the brokers and investment advisors representatives on s...
Avg. Salary: $112,500 · Company Rank: Not Available
Scudder Investments
Compliance liaison for the Retirement, US Retail and Variable Annuity business units. Provide continuous and ongoing information, advice and assistance to the business units on supervisory responsibilities, sales materials, security licensing issues/review and all related compliance/regulatory issues. Provide training on security and industry issues (e.g. – anti-money laundering, non-cash compensation, books and record reg...
Avg. Salary: $112,500 · Company Rank: Not Available
New England Financial
Review and approve home office produced and agency produced sales materials, correspondence, and advertisements to ensure compliance with SEC and NASD rules and regulations. Provide continuous and ongoing information, advice and assistance to the field on supervisory responsibilities, sales materials, and all related compliance issues. Work on various projects from interpreting and implementing NASD notice to member 98-11...
Avg. Salary: $112,500 · Company Rank: Not Available
Jefferson Pilot Securities
Research and understand new and proposed securities related law/regulation. Inform and train Jefferson Pilot Securities personnel of regulatory and applicable policy changes. Work closely with the legal department with pending arbitration and lawsuits. • Responsible for complaint (regulatory and customer) tracking and resolution including amending U-4's and U-5's. • Responsible for NASD 3070 complaint filings and upda...
Avg. Salary: $112,500 · Company Rank: Not Available
HJ Meyers & Co, Inc.
Proactively monitor the firms compliance with regulations governing the investment securities industry as outlined by the NASD, SEC, and other self regulatory organizations. Clearly and consistently communicated those regulations throughout the branch. • Daily surveillance/review of trade activity, verification of unsolicited purchases, new accounts, statements, state regulations, regulation T extensions, purchase and s...
Avg. Salary: $112,500 · Company Rank: Not Available
Fidelity Investment
Integration Transaction Services Coordinator - Involved in all phases of comprehensive institutional investments from establishing and maintaining new accounts for the broker/dealer, bank wholesale, trust, government and insurance markets to processing system transfers, IRA applications, check purchases, and bank wires. Responsibilities included extensive account research, training, and supervising staff members, analyzed ...
Avg. Salary: $112,500 · Company Rank: Not Available
Lincoln Investment Planning
Provide expert guidance and innovative solutions to help meet a client's financial goals and objectives at every life stage.
Avg. Salary: $112,500 · Company Rank: Not Available
City of Malden
Responsibilities for determining city government and administration policies, as well as adopting budgets and legislation for the City of Malden Massachusetts.
Avg. Salary: $112,500 · Company Rank: Not Available
performance unlimited
arrange finacing for used motorcycles
Avg. Salary: $0 · Company Rank: Not Available
