- 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
- 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