- DTCC (Jersey City, NJ)
- …relating to DTCC's clearing agency businesses and related communications with the Securities Exchange Commission (SEC). Collaborate with members of the DTCC legal ... transparency, enhancing performance and driving efficiency for thousands of broker /dealers, custodian banks and asset managers. Industry owned and governed,… more
- Jefferies (New York, NY)
- …keeping updated. Respond timely to escalated inbound Financial Advisor and Sales Assistant requests for middle office and trade support. Ability to analyze data ... a US-headquartered global full service, integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US... firm. Our largest subsidiary, Jefferies LLC, a US broker -dealer, was founded in the US in 1962 and… more
- JPMorgan Chase (New York, NY)
- …advising on broker -dealer regulatory issues, cash equity trading issues and securities transactions + All candidates for roles in the Legal department must ... Group within the Corporate & Investment Bank as a Broker -Dealer & Cash Equities Attorney. As a Broker...legal colleagues as well as regulators, including the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority… more
- JPMorgan Chase (Columbus, OH)
- …a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide ... organization with demonstrated financial services experience. + Experience in broker -dealer and investment advisory matters, including knowledge of federal and… more
- Wells Fargo (New York, NY)
- …experienced and commercially minded attorney to join our Legal Department as Assistant General Counsel supporting the Equity Capital Markets (ECM) and Debt Capital ... regulatory and compliance matters, including SEC, FINRA, NYSE/Nasdaq, and global securities laws and regulations. + Participate in industry efforts addressing… more
- MUFG (New York, NY)
- …member of our recruitment team will provide more details. **Job Description** MUFG Securities Inc Credit Risk Management is in search of a credit analyst/officer at ... our growing counterparty portfolio across traded products such as repo, securities lending, derivatives, and MBS forwards etc. **Experience:** + Experience… more
- First Horizon Bank (Memphis, TN)
- …with sales, trading, and operations departments promoting smooth execution and delivery of securities . + Strong ability to multi-task and manage issues arising on a ... + Maintain and encourage means in which to simplify and streamline broker needs. Initiate methods of organization to encourage up-to-date customer/ broker … more
- City National Bank (Los Angeles, CA)
- …SERVICES OFFICER* WHAT IS THE OPPORTUNITY? Oversee the City National Securities Investment Relationship Officers and Assistant Investment Officers supporting ... the Financial Advisors and licensed representatives of City National Securities . Provide training for Financial Advisors, Investment Relationship Officers, … more
