- Siebert Williams Shank (New York, NY)
- …Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a motivated compliance professional to assist the ... SIE, Series 7 licenses required + At least 3 years of compliance experience ( broker - dealer preferred) + Experience with fixed income products (notably… 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
- 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
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker - dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... outside of Internal Audit and across the firm! As a Senior Internal Auditor, Associate on the Commercial and Investment Banking Finance Audit team, you will be… 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