- Marex (New York, NY)
- …work environment. Skills and Experience + Fifteen (15+) plus years of securities advisory experience. Knowledge of broker -dealer activities and requirements. + ... Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed… more
- TD Bank (New York, NY)
- …**Job Requirements** + Ability to lead and influence. + Extensive experience in Securities Financing and Prime Services/ Broker businesses is a requirement. + ... York, New York, United States of America **Hours:** 40 **Line of Business:** TD Securities **Pay Detail:** $200,000 - $225,000 USD TD is committed to providing fair… more
- SMBC (Jersey City, NJ)
- …financial reporting process and related internal control framework + Knowledge of securities broker dealer business, financial products and regulatory reporting ... NJ. This position will be responsible for SMBC Nikko Securities America, Inc, a registered broker dealer, which provides intvestment securities and other… more
- M&T Bank (Baltimore, MD)
- …team on risk and control topics impacting the Institutional Broker -Dealer, Corporate Securities Underwriting, and Syndications/ Participations. **Primary ... defense risk management responsibilities of the Investment Bank and Institutional Broker -Dealer in accordance with the Enterprise Risk Framework. Oversee the… more
- US Bank (Atlanta, GA)
- …Include** - Advise on secondary market trading matters - Review broker -dealer transactional agreements, including securities lending and repurchase agreements ... finance transactions - Advanced knowledge and experience with structured lending, securities , bank regulation, broker -dealer regulation, and other pertinent laws… more
- Capital One (Mclean, VA)
- …We are seeking a highly motivated Accounting Manager to support Capital One Securities , a broker dealer registered with the Financial Industry Regulatory ... Authority (FINRA) and the Securities Exchange Commission (SEC). Candidates should be self-starters responsible for managing a team of accounting professionals,… more
- Bank of America (New York, NY)
- …department on a wide variety of legal issues. Knowledge of the US securities laws, broker -dealer regulations, and banking regulations impacting the business, ... transactions and public-private interactions. + Experience with primary offerings and Securities Act issues helpful as is knowledge of processes concerning mortgage… more
- Athene (West Des Moines, IA)
- …an inclusive and dynamic work environment at our various locations. Purpose: Athene Securities is expanding its broker -dealer and is looking for an individual ... oversight related to suitability and Regulation Best Interest. Athene Securities is a limited purpose broker -dealer and...Interest. Athene Securities is a limited purpose broker -dealer and is a subsidiary of Athene, a leading… more
- Raymond James Financial, Inc. (NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker /dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Siebert Williams Shank (Chicago, IL)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed to providing the highest level of value-added services… more
- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed to providing the highest level of value-added services… more
- Manulife (Boston, MA)
- …+ The candidate must have a base knowledge and understanding of broker -dealer securities regulation (investment adviser/investment company a plus) and ... responsible for electronic communications monitoring and oversight for our US based broker -dealers. Additionally, the role serves as a primary contact for regulator… more
- Citizens (New York, NY)
- Description Citizens JMP Securities , Inc., Citizens Institutional Broker -Dealer, is seeking a Broker -Dealer Credit Risk Operations Associate to assist with ... Non-Bank Financial Institutions, including Insurance Companies, Broker -Dealers, Investment Managers, Hedge Funds, Mutual Fund Families, and others. In this role, you… more
- Commerce Bank (Kansas City, MO)
- …Bar preferred + Note: As Commerce Trust is exempt from the definition of " broker -dealer", securities -based licenses, such as FINRA Series 7/24 or MSRB Series ... this position. As Commerce Trust is exempt from the definition of " broker -dealer", securities based licenses, such as FINRA Series 7/24 or MSRB Series… 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
- Lincoln Financial (Radnor, PA)
- …at a Glance This position will perform legal work on a broad range of US securities and corporate law matters, with an emphasis on aspects of work related to proxy ... 10-K/10-Q, current reports on Form 8-K and Section 16 reporting obligations; securities offerings under the 1933 Act; earnings releases and related materials; equity… more
- TD Bank (New York, NY)
- …regulatory risk. **Responsibilities:** + Oversee the registration requirements for four broker -dealers, the swap dealer, and the security-based swap dealer. + Manage ... and ad hoc filings related to complaints, reportable issues, disclosures, and broker dealer requirements. + Respond to regulatory inquiries related to employee… more
- City National Bank (Los Angeles, CA)
- …all new account documents, account transfers (acats), DTC delivery of securities , money movements including cash disbursements and deposits, wires, IRA ... apprised of significant client issues and potential problems. *City National Securities Brokerage Account Administration* * Establish new accounts opened in CNS… more
- Axis (Kansas City, MO)
- …for candidates taking part in the selection process. Head of US Broker Compliance Job Family Grouping: Operations Group Job Family: Operations-Producer Compliance ... contribute to our collective success? As the Head of Broker Compliance at AXIS, you will play a pivotal...is highly desirable. * Membership and involvement in the Securities & Insurance Licensing Association (SILA) or similar industry… more
- JPMorgan Chase (New York, NY)
- …and contribute to the definition and financial performance of cash capabilities within Securities Services at one of the world's leading custodians. As a Cash ... of cash products for clients and markets supported by Securities Services, with a focus on the Americas. You...* Excellent problem-solving skills, with the ability to quickly broker solutions and resolve conflict situations. * Ability to… more