- 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 (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Principal ... of Business:** TD Wealth **Job Description:** The Principal Review 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
- TD Bank (Vienna, VA)
- …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
- 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
- Adecco US, Inc. (Pennington, NJ)
- …required . Relevant coursework in finance a plus . Previous experience working for a broker dealer or supporting a financial advisory team As a reminder, this ... Analyst role supports the Performance Operations organization. The Information Management Analyst is responsible for assisting with client onboarding into the… 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