- State of Arkansas (Little Rock, AR)
- …- $86,876 Job Summary The Securities Examiner I assists in evaluating securities firms, broker -dealers, and investment advisers in an attempt to ensure ... of financial markets. Primary Responsibilities Assist in conducting examinations of securities firms, broker -dealers, and investment advisers under the… more
- Capital One (Mclean, VA)
- …We are seeking a highly motivated Accounting Manager to support Capital One Securities , a broker dealer registered with the Financial Industry Regulatory ... Manager, Broker Dealer Accounting Does the idea of working...Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible… more
- Marex (New York, NY)
- …work environment. Skills and Experience + Fifteen (15+) plus years of securities advisory experience. Knowledge of broker -dealer activities and requirements. + ... Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed… more
- SMBC (New York, NY)
- …traded products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...broker dealer businesses including derivatives, FX, repo and securities lending. As part of the first line of… more
- SMBC (Jersey City, NJ)
- …financial reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting ... NJ. This position will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer, which provides intvestment securities and other… more
- SMBC (New York, NY)
- …compliance experience at a broker dealer. + A solid foundation in US securities laws and regulations and broker dealer operations, products and services. + ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the… more
- M&T Bank (Baltimore, MD)
- …team on risk and control topics impacting the Institutional Broker -Dealer, Corporate Securities Underwriting, and Syndications/ Participations. **Primary ... defense risk management responsibilities of the Investment Bank and Institutional Broker -Dealer in accordance with the Enterprise Risk Framework. Oversee the… more
- Bank of America (New York, NY)
- …department on a wide variety of legal issues. Knowledge of the US securities laws, broker -dealer regulations, and banking regulations impacting the business, ... transactions and public-private interactions. + Experience with primary offerings and Securities Act issues helpful as is knowledge of processes concerning mortgage… more
- PNC (Pittsburgh, PA)
- …can sit in Pittsburgh, PA. The candidate must have Foreign Exchange experience or Securities Broker Dealer experience . The position will require the ability to ... * Experience working with FX Trading (Forwards, NDFs, Swaps, Options) or Broker Dealer Trading, Trade Capture, Accounting, and Settlements. * Broad knowledge and… more
- Raymond James Financial, Inc. (New York, NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker /dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed to providing the highest level of value-added services… more
- Siebert Williams Shank (Chicago, IL)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed to providing the highest level of value-added services… more
- US Bank (New York, NY)
- …and/or as in-house counsel supporting capital markets products + Experience with securities laws and broker -dealer regulatory matters + Experience with corporate ... corporate and municipal bond sales, trading, and origination, asset-backed securities and CLOs, interest rate derivatives, commodity derivatives, foreign exchange,… more
- SMBC (Charlotte, NC)
- …and trust worthiness of data. This role will support both SMBC Nikko Securities America, Inc. ( Broker -Dealer) and SMBC Capital Markets, Inc. (Swap Dealer). ... SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130… more
- TD Bank (Mount Laurel, NJ)
- …rules, regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management + Experience working with ... lines of business stakeholders to develop a culture that fosters self-identification of business and Compliance issues and can support the definition of remediation plans to mitigate associated risks. + Comfortable engaging in high-level discussions to… more
- M&T Bank (Boston, MA)
- **Overview:** M&T Securities , Inc. is the institutional broker -dealer affiliate of M&T Bank. As a member of our Compliance team, you will serve an important role ... culture of ethical conduct and commitment to compliance with securities regulation. You will have the opportunity to play...FINRA, SEC, and other SRO rules as applicable to broker -dealer activities. + Assist in review of controls in… more
- JPMorgan Chase (New York, NY)
- …advising on broker -dealer regulatory issues, cash equity trading issues and securities transactions + All candidates for roles in the Legal department must ... Group within the Corporate & Investment Bank as a Broker -Dealer & Cash Equities Attorney. As a Broker...legal colleagues as well as regulators, including the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority… more
- State of Georgia (Fulton County, GA)
- …(statutes, court decisions, rules/regulations and other precedent) impacting securities registration/exemptions, investment advisers, broker -dealers, charities ... the Enforcement Attorney (I) is charged with detecting violations to applicable securities and charities laws and having direct involvement in the investigation and… more
- NVR (Reston, VA)
- …NVR's Corporate Headquarters in Reston, Virginia. Primary Responsibilities: . Trade Mortgage-Backed- Securities (MBS) with various broker dealers and foster ... liquidity for the firm . Trade MBS Derivative (TBA) securities to hedge interest rate risk on the $2bn+...accuracy of loan sale proceeds as well as Mortgage-Backed Securities (MBS) trades . Ensure NVR's hedging reporting accuracy… more
- Lincoln Financial (Radnor, PA)
- …at a Glance This position will perform legal work on a broad range of US securities and corporate law matters, with an emphasis on aspects of work related to proxy ... 10-K/10-Q, current reports on Form 8-K and Section 16 reporting obligations; securities offerings under the 1933 Act; earnings releases and related materials; equity… more