- 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
- 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
- Bank of America (New York, NY)
- …financing and asset-backed lending. + Provide regulatory advice regarding margin rules and broker dealer regulation relating to such products. + Follow and help ... and regulatory matters related to the Global Banking and Global Markets businesses. Key responsibilities include reviewing legal documents, interpreting… more
- US Bank (New York, NY)
- …Include** - Advise on secondary market trading matters - Review broker - dealer transactional agreements, including securities lending and repurchase agreements ... Advanced knowledge and experience with structured lending, securities, bank regulation, broker - dealer regulation, and other pertinent laws and regulations,… more
- TD Bank (New York, NY)
- …routine and ad hoc filings related to complaints, reportable issues, disclosures, and broker dealer requirements. + Respond to regulatory inquiries related to ... their regulatory risk. **Responsibilities:** + Oversee the registration requirements for four broker -dealers, the swap dealer , and the security-based swap … more
- Broadridge Financial Solutions (New York, NY)
- …Solutions division is bringing a suite of data-driven technology solutions to broker dealer , mutual fund, retirement, insurance, and asset management firms. ... to C-level stakeholders. + Knowledge of Financial Services Industry, ideally specific to broker dealer markets with operations expertise. + 10+ years in within… 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
- Motion Recruitment Partners (New York, NY)
- …will have experience working in a collaborative work environment for a financial services/RIA/ Broker Dealer firm and have a passion for delivering outstanding ... process ongoing activity + Work with client types including direct/retail investors, broker dealer platforms, institutions and advisors + Support client… more
- Bank of America (New York, NY)
- …make an impact. Join us! **Job Description:** This job is responsible for providing legal support and strategic advice to the Global Wealth & Investment ... and applicable issues associated with lending to clients of an affiliated broker - dealer + Strong communication and drafting skills and proven experience… more
- JPMorgan Chase (New York, NY)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. + ... industry. As an Attorney in the JPMorgan Asset Management legal team, you will provide comprehensive legal ...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- Santander US (New York, NY)
- …the US Fixed Income and Equities trading/regulatory framework, including FINRA, SEC broker dealer regulations and other relevant bank regulations; knowledge of ... Country: United States of America **Your Journey Starts Here:** Santander is a global leader and innovator in the financial services industry. We believe that our… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... driven winning team, committed to results, in an inclusive and high-performing culture. ** Global Banking and Markets** Global Banking and Markets (GBM) is a… 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 ... and escalating emerging risks - credit, market, operational or legal - to senior management and Global ...or legal - to senior management and Global Prime Finance IBR Head. Continuously assessing and adapting… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg, ... the local expertise of our employees that makes our global network so powerful. By collaborating with colleagues and...the team plays a key role (in collaboration with legal , compliance, IT, etc) in the analysis, requirements specifications,… more
- Motion Recruitment Partners (New York, NY)
- …Stress Testing/ CCAR. + Risk & Controls experience. + Strong Understanding of Broker dealer Front office operations and Products. + Proficiency using MS ... $91/hr - $98/hr Grow your career with an innovative global bank in New York, NY as a Model...and post-tax options + Paid Sick Time Leave + Legal and Identity Protection Plans + Pre-tax Commuter Benefit… more
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... laws/regulations as they pertain to respective businesses and across legal entities + Assist the Head of Compliance programs...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more
- TD Bank (New York, NY)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations ... in this position. The Liquidity team manages risk across legal entities, business segments, and partners with key business...We Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank… more