- MUFG Bank, Ltd. (New York, NY)
- …A member of our recruitment team will provide more details. Job Description MUFG Securities Inc Credit Risk Management is in search of a credit analyst/officer at ... our growing counterparty portfolio across traded products such as repo, securities lending, derivatives, and MBS forwards etc. Experience: Experience performing… more
- Brookfield Asset Management, Inc. (New York, NY)
- …a law firm is preferred Bachelor's degree required Experience working in a broker dealer, asset management, capital markets, securities or financial services ... have responsibility for a range of work, including key responsibilities of a broker dealer. The candidate will collaborate with legal and regulatory personnel at… more
- Jefferies (New York, NY)
- …with capital markets and financial advisory services, institutional brokerage and securities research, and wealth and asset management. Jefferies provides research ... assessing the risk associated with model choice. Jefferies is looking for an Assistant Vice President Quantitative Analyst to join our Model Validation function. Key… more
- Oppenheimer & Co. Inc. (Jericho, NY)
- …& Co. Inc. ("Oppenheimer") is a leading middle-market investment bank and full service broker -dealer. With roots tracing back to 1881, the Company is engaged in a ... range of activities in the financial services industry, including retail securities brokerage, institutional sales and trading, investment banking (both corporate… more
- Fulton Bank (Southampton, PA)
- …on financial plans utilizing knowledge of tax and investment strategies, securities , insurance, pension plans, and real estate. Duties include assessing clients' ... of external new business sources to achieve annual sales objectives. Assists Sales Assistant Manager in the evaluation of their assigned sales assistant .… 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
- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- JPMorgan Chase (Columbus, OH)
- …a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide ... organization with demonstrated financial services experience. + Experience in broker -dealer and investment advisory matters, including knowledge of federal and… more
- Wells Fargo (New York, NY)
- …experienced and commercially minded attorney to join our Legal Department as Assistant General Counsel supporting the Equity Capital Markets (ECM) and Debt Capital ... regulatory and compliance matters, including SEC, FINRA, NYSE/Nasdaq, and global securities laws and regulations. + Participate in industry efforts addressing… more
- First Horizon Bank (Memphis, TN)
- …with sales, trading, and operations departments promoting smooth execution and delivery of securities . + Strong ability to multi-task and manage issues arising on a ... + Maintain and encourage means in which to simplify and streamline broker needs. Initiate methods of organization to encourage up-to-date customer/ broker … more
- City National Bank (Los Angeles, CA)
- …SERVICES OFFICER* WHAT IS THE OPPORTUNITY? Oversee the City National Securities Investment Relationship Officers and Assistant Investment Officers supporting ... the Financial Advisors and licensed representatives of City National Securities . Provide training for Financial Advisors, Investment Relationship Officers, … more
