- JPMorgan Chase (New York, NY)
- …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
- Coinbase (Jefferson City, MO)
- …you'll be doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our equities trading product. As a Senior Associate, ... seeking a highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization… more
- Coinbase (Juneau, AK)
- …*What you'll be doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our equities trading product. As a Manager, you ... regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and scalable… more
- Citigroup (New York, NY)
- **Job Description** **The Senior Lead Counsel I - Equities Cash and Derivatives SVP will provide transactional and advisory legal services to risk managers and ... business representatives within Citi's Equities Cash and Derivatives businesses, which focuses...products, and legal advice in areas of securities laws, broker - dealer regulation, swaps regulations, margin requirements, security… more
- JPMorgan Chase (New York, NY)
- …team, which is the client-facing organization for all automated trading capabilities in Cash Equities . This team builds, manages and delivers the leading ... in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... 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 (Columbus, OH)
- …by providing industry-leading investment solutions. Our wide array of financial strategies- equity , fixed income, cash management, currency, asset allocation, and ... 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)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... or more years of experience with a registered US broker dealer or regulator. + JD desirable...Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise,… more
- MUFG (New York, NY)
- …office, financial technology, or equivalent financial operations roles. * Deep knowledge of broker dealer products ( equities , fixed income, ABS, MBS, ... serve as the technical bridge between operations and the technology that powers our broker dealer settlement engine. This role requires deep expertise in trade… more
- JPMorgan Chase (Fort Worth, TX)
- …alternative solutions with financial advisors from wirehouse, private bank, RIA, independent broker / dealer , and JP Morgan Chase affiliate channels. + Proactively ... contact broker - dealer firms to identify avenues for increased...and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... 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)
- …. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry best ... 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)
- …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)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... 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)
- …experience **Preferred Qualifications:** + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank ... 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)
- …JD desirable but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... 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)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... 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)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong 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
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but ... 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