- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, self-motivated, and highly organized ... Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and Compliance team,...requests for potential new hires + Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review… more
- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding ... DMA, plus award-winning data, insights and analytics [do not delete]. The US Onboarding team is responsible for facilitating the account opening process across a… more
- TD Bank (Greenville, SC)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- Commerce Bank (Kansas City, MO)
- …our Commerce Financial Advisors (CFA) accounts which use LPL Financial as a broker - dealer & Registered Investment Advisor. The team provides exceptional customer ... service focused and technically adept individual for our Systems Support Analyst role in our Commerce Financial Advisor divisions. Commerce Financial Advisors… more
- MUFG (New York, NY)
- …Prior internship or experience in financial services (Global Bank / Sales & Trading / Broker - Dealer ) is a plus (but not mandatory) The typical base pay range for ... **Summary:** Join a leading financial services firm as an entry-level **Business Support Analyst ** in our front office **Sales & Trading and Treasury team** . This… more
- Insight Global (Dallas, TX)
- …and/or Flow is highly preferred. * Familiarity with AML/KYC compliance processes and Broker Dealer and/or Registered Investment Adviser regulations is a strong ... Insight Global is seeking to hire a Fund Operations Analyst to join a global investment firm based in...effectively communicate with investors to ensure a smooth investor onboarding process and a continued and ongoing "white glove"… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, ... similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more
- Capital One (Mclean, VA)
- …in IRD space + 5+ years of experience working at a financial institution, Bank or Broker Dealer + Proficient in the use of Bloomberg, Excel, and Visual Basic + ... ad hoc projects as needed. Those projects could include new product testing, onboarding new dealer relationships, amending existing legal agreements, etc. + Role… more
- TD Bank (New York, NY)
- …traders and executes the trade + Ensures all trades are confirmed with the broker / dealer + Inputs trades (post execution), and Verifies transactions meet company ... (including investor relations professionals and C-suite as well as Buy-Side Broker Liaisons). + Work independently while managing multiple live events/projects. +… 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, ... strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through… more
- TD Bank (New York, NY)
- …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... maintaining tools supporting the electronic trading control framework + Assist in the onboarding of new automated trading activities + Assist in risk assessment and… more
