- Betterment (New York, NY)
- …You will also be accountable for ensuring the team's priorities fulfill the broker - dealer 's multiple mandates: Enable Growth - We must enable our business ... for employees. New York City: $140,000 - $175,000 We offer a competitive equity package, health, dental and vision benefits, life and AD&D, short-term and long-term… more
- JPMorgan Chase & Co. (Canton, MI)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... 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 & Co. (Walnut Creek, CA)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... 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 (New York, NY)
- …with 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
- 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
- Citigroup (New York, NY)
- …+ Global platform includes Prime Brokerage and Swap offerings across US and international broker dealer and bank chain entities. + Client portfolios comprise of ... In-Business Risk (IBR), responsible for counterparty and platform risk management of Citi's cash and synthetic Prime Brokerage and Equity Delta One business… 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
- JPMorgan Chase (New York, NY)
- …the day-to-day operations of the business and delivering key outcomes across the broker dealer and client segments. You will help oversee strategic relationships ... Broker Dealers + Maintain relationships with the broker dealer community to increase awareness of...and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition… more
- TD Bank (New York, NY)
- …disciplinary actions, as required + Provides support to the CCO of the broker - dealer by hiring, rebuilding/building and managing US based team of compliance ... officers dedicated to the broker - dealer /registered investment adviser + Develops, implements, enforces,...base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through… more
- City National Bank (Los Angeles, CA)
- …Qualifications** * Two to five years of Client Service or Operational experience at a Broker Dealer or in an investment management environment. * FINRA Series 7 ... preferred. * Two to five years of Client Service or Operational experience at a Broker Dealer . * Knowledge of SEC and FINRA rules and regulations. * Knowledge… 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)
- …**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)
- …to 10 years of knowledge and experience in AML compliance, preferably within the broker - dealer industry at a large financial institution. + Excellent verbal and ... 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:** + 5 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
- 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
- Raymond James Financial, Inc. (Seattle, WA)
- …_About Raymond James:_ _RJA is an investment adviser and full-service broker - dealer dually registered with the Securities and Exchange_ _Commission. ... make moderately complex decisions. **Responsibilities:** + Manage retirement plan cash flow + Monitor and analyze daily transactions and...Division of Raymond James."_ _RJA serves as a clearing broker - dealer and custodian for many of our… more
- City National Bank (Los Angeles, CA)
- …Qualifications** * 5 or more years of Customer Service or Operational experience at a Broker Dealer * 5 or more years of management and/or supervisory experience ... account transfers (acats), DTC delivery of securities, money movements including cash disbursements and deposits, wires, IRA distributions, and contributions, and… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition… more
- TD Bank (Portland, ME)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business...base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through… 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 ... Language:** + This position is with a FINRA member, broker and/or dealer and is subject to...base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through… more
