- TD Bank Group (New York, NY)
- …experience Preferred Qualifications: 5 or more years of experience with a registered US broker dealer or regulator. JD desirable but not required Knowledge of ... we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing our strong,… more
- Octaura (New York, NY)
- …Understanding of Generally Accepted Accounting Principles (GAAP) CPA is a plus Broker dealer /net capital experience is highly preferred FINRA Series 27/28 ... with department policy, including monthly, quarterly, and yearly adjustments Prepare broker / dealer filings, net capital calculations, and different analysis.… more
- JPMorgan Chase & Co. (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 ... and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition...in the form of cash and/or forfeitable equity , awarded in recognition of individual achievements and contributions.… more
- JPMorgan Chase & Co. (Freehold, NJ)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition...in the form of cash and/or forfeitable equity , awarded in recognition of individual achievements and contributions.… more
- JPMorgan Chase (New York, NY)
- …with you, we would like to hear from you. Job Responsibilities: + Advise the broker - dealer cash equities business managers and registered representatives ... and support for the various product desks within the broker - dealer cash equity ...capabilities and skills: + Strong experience and familiarity with broker - dealer cash equities … more
- Citigroup (New York, NY)
- …+ Global platform includes Prime Brokerage and Swap offerings across US and international broker dealer and bank chain entities. + Client portfolios comprise of ... In-Business Risk (IBR), responsible for counterparty and platform risk management of Citi's cash and synthetic Prime Brokerage and Equity Delta One business… more
- JPMorgan Chase (New York, NY)
- …the day-to-day operations of the business and delivering key outcomes across the broker dealer and client segments. You will help oversee strategic relationships ... Broker Dealers + Maintain relationships with the broker dealer community to increase awareness of...and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing our strong,… more
- TD Bank (New York, NY)
- …to 10 years of knowledge and experience in AML compliance, preferably within the broker - dealer industry at a large financial institution. + Excellent verbal and ... we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing our strong,… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge ... we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing our strong,… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge ... we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing our strong,… more
- TD Bank (New York, NY)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business...base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through… more
- TD Bank (New York, NY)
- …multiple jurisdictions and business lines, including consumer and commercial banking, broker - dealer operations, and wealth management. This role also supports ... risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Experience supporting the strategy… more
- JPMorgan Chase (Jersey City, NJ)
- …laws and regulatory requirements related to private banking, investment advisor, broker - dealer and fiduciary activities. + Experience with internal audit ... manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing… more
- JPMorgan Chase (New York, NY)
- …rules, related to the supervision and risk management of credit exposures in broker - dealer operations; ensuring compliance with Title VII of the Dodd-Frank Act, ... especially those acting as Future Commission Merchant and Swap Dealer in order to assess impact to Credit Risk;...and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition… more
- Lincoln Financial (New York, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... primary, coinvest, and secondary investments across alternatives strategies including private equity , hybrid credit, and hedge funds *Conduct due diligence on… more
- JPMorgan Chase (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition...in the form of cash and/or forfeitable equity , awarded in recognition of individual achievements and contributions.… more
- JPMorgan Chase (New York, NY)
- …* Build and maintain relationships with investment bankers and analysts, the broker - dealer community, rating agencies, and legal professionals, among other ... and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition...in the form of cash and/or forfeitable equity , awarded in recognition of individual achievements and contributions.… 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 ... and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition...in the form of cash and/or forfeitable equity , awarded in recognition of individual achievements and contributions.… more
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... TD includes base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through participation in… more
