- NatWest Markets (Stamford, CT)
- …out in the United States. **Job description** **Swap Dealer Testing Associate ** **2LOD** This roleis responsible forassessing compliance risks and controls ... Swap Dealer Testing Associate Stamford,United States Permanent...swap- dealer business. + Good knowledge of swap dealer regulations, and securities products and compliance … more
- Citizens (New York, NY)
- …JMP Securities, Inc., Citizens Institutional Broker - Dealer , is seeking a Broker - Dealer Credit Risk Operations Associate to assist with Non-Bank ... proper controls are in place to systematically limit the financial exposure of the broker - dealer that could arise because of market access. + Ensure … more
- Foresters Financial Services (Westbury, NY)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Sales Support Associate Sales Westbury, New York Apply Description What...Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… 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
- Kestra Financial (Kings Park, NY)
- …record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... Summary The Client Service Associate reports to the Financial Advisor and is...financial services industry allowing for a good understanding of broker / dealer operations and financial services products, and… 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
- 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
- SMBC (White Plains, NY)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... Operations Group within SMBC Nikko Securities America, Inc. is seeking an Associate level candidate to provide operational support to the Fixed Income Securities… more