- Clear Street (New York, NY)
- … Global tax information reporting and withholding obligations associated with our broker - dealer and clearing operations. The role will focus heavily on ... 61, 871(m), and 1446(f) rules among others Experience working within a broker - dealer , custodian, or financial institution Experience working within a Prime… more
- PIMCO (New York, NY)
- …Compliance Officer to join its US Registered Funds Compliance team within the global Legal and Compliance Department, primarily focusing on the 38a-1 compliance ... PIMCO is a global leader in active fixed income with deep...evolving regulatory requirements Maintain an understanding of investment company, broker - dealer , and investment advisory compliance regulatory focus… more
- Jefferies (Jersey City, NJ)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- Societe Generale (New York, NY)
- …Second Line of Defense of the corporate banking, investment banking and broker - dealer activities across Societe Generale's operations, reporting on the ... General knowledge of applicable regulations relating to Investment Banking, and Broker - Dealer Sales and Trading activity. Strong interpersonal and written/verbal… more
- BNP Paribas (Jersey City, NJ)
- …client structures; Participate in, and actively contribute to, local and/or global Client Acceptance Committee (CAC) meetings; Support the Passport and Reliance ... regimes through coordination and "One Voice" Compliance decision-making with global counterparts; Review and provide commentary on global KYC-related policies… more
- Lincoln Financial (Broomall, PA)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... *Carry out duties in compliance with the Institute of Internal Auditors' Global Audit Standards, state and federal regulations, and company policies and procedures.… more
- JPMorgan Chase (New York, NY)
- …Cash Equities Attorney. As a Broker - Dealer & Cash Equities Attorney within the Broker - Dealer & Cash Equities Legal group , you will provide legal ... You will report directly to the Head of the Broker - Dealer & Cash Equities Legal ...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide critical analysis and discussion...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- MUFG (New York, NY)
- …practices. + Work closely with Global colleagues and US counterparts to ensure that Broker Dealer are aligned with peer broker dealer practices and ... our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital… more
- Bank of America (New York, NY)
- …variety of legal issues. Knowledge of the US securities laws, broker - dealer regulations, and banking regulations impacting the business, including issues ... matters related to the Global Banking and Global Markets businesses. Key responsibilities include reviewing legal...5+ years (law firm, regulatory and/or in-house) of direct broker - dealer / capital markets legal … more
- Citigroup (Tampa, FL)
- …coordination of the day-to-day activities of the complaint intake function for Citi's broker - dealer , Citigroup Global Markets ("CGMI"); assistance with the ... with compliance and control; partners with operations, risk, compliance, legal and other entities to ensure accuracy and validity...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- Bank of America (Charlotte, NC)
- …reporting teams. The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting ... computations - Prepares and reviews trend and analytical reporting related to Broker Dealer computations - Works with internal controls functions and… more
- US Bank (New York, NY)
- …Team. This attorney will lead a team of legal professionals who provide legal support for US Bank's Global Capital Markets group, which includes the ... private placements, and repo and securities lending. **PRIMARY RESPONSIBILITIES:** + Provide legal support to the Global Capital Markets business + Collaborate… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related ... brokerage and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with investment adviser,… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how… more
- Principal Financial Group (Modesto, CA)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... onboarding new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial… more
- TD Bank (New York, NY)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... for a significant business or functional area across all legal entities and jurisdictions where TD operates + Provide...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Citigroup (New York, NY)
- …and across the globe Knowledge & Experience: + 5 years' experience at a bank/ broker dealer + Working knowledge of brokerage products, structured products, and ... skills, ability to communicate to all levels of management + Familiarity with bank/ broker dealer trading platforms + Strong organizational and project management… more
- JPMorgan Chase (Columbus, OH)
- …from further analysis, and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker - dealer ... secure buy-in from senior leadership. + Collaborate with internal technology, operations, legal , risk, and compliance partners to develop requirements for the target… more
