- SMBC (Jersey City, NJ)
- …Group's wholesale and retail banking operations; US and LATAM representative offices; US broker dealer and registered swap deal; Cayman Branch; Canada Branch; ... benefits to its employees. **Role Description** SMBC Group is seeking an Associate to join the Compliance Controls Inventory team, which is a part of SMBC's … more
- Neuberger Berman (New York, NY)
- The broker - dealer channel is responsible for the distribution of mutual funds, separately managed accounts and alternative investments to wirehouses, regional ... Collaborate with the team's Research Director to organize and manage existing broker - dealer manager research relationships by providing efficient and thorough… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and...all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures… more
- SMBC (Jersey City, NJ)
- …representative offices; Grand Cayman Branch; Canada Branch; Brazilian banking subsidiary; US broker dealer and registered swap deal; and certain non-bank leasing ... **Role Description** SMBC is looking to hire a Financial Crime Compliance ("FCC") Program Governance Associate reporting to a VP of FCC Program Governance. The… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will provide client service, operational… more
- Broadridge Financial Solutions (New York, NY)
- …helping others along the way, come join the Broadridge team. Bank, Broker - Dealer (BBD) and Broadridge Customer Communications (BRCC) drives business ... transformation for its bank and broker - dealer clients, with communications, technology, data, and...all parts of their business, including trading, proxy and compliance , corporate actions, notifications and election capture, global class… more