• Broker - Dealer & Cash

    JPMorgan Chase (New York, NY)
    …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 (09/14/25)
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  • Senior Lead Counsel - Equities

    Citigroup (New York, NY)
    **Job Description** **The Senior Lead Counsel I - Equities Cash and Derivatives SVP will provide transactional and advisory legal services to risk managers and ... business representatives within Citi's Equities Cash and Derivatives businesses, which focuses...products, and legal advice in areas of securities laws, broker - dealer regulation, swaps regulations, margin requirements, security… more
    Citigroup (09/13/25)
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  • Global Equities - Electronic Trading…

    JPMorgan Chase (New York, NY)
    …team, which is the client-facing organization for all automated trading capabilities in Cash Equities . This team builds, manages and delivers the leading ... in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and… more
    JPMorgan Chase (08/15/25)
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  • Sr. Compliance Officer - Compliance Oversight…

    TD Bank (New York, NY)
    …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... or more years of experience with a registered US broker dealer or regulator. + JD desirable...Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise,… more
    TD Bank (09/20/25)
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  • Senior Settlement System Support Specialist., VP

    MUFG (New York, NY)
    …office, financial technology, or equivalent financial operations roles. * Deep knowledge of broker dealer products ( equities , fixed income, ABS, MBS, ... serve as the technical bridge between operations and the technology that powers our broker dealer settlement engine. This role requires deep expertise in trade… more
    MUFG (07/30/25)
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  • Equity Research, Associate - Metals, Mining…

    Wells Fargo (New York, NY)
    …relationships not only with Equity Research colleagues, but also with Equity Sales, Cash Trading, Derivatives, Wealth Management, and others. The Associate ... Fargo. **About this role:** Wells Fargo is seeking an Equity Research, Associate - Metals, Mining and Building Materials....are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and… more
    Wells Fargo (10/10/25)
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  • Director, Compliance - Regulatory Initiatives, TD…

    TD Bank (New York, NY)
    …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... 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 (09/07/25)
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  • Director - Regulatory & Supervisory Management,…

    TD Bank (New York, NY)
    …. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry best ... 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 (10/02/25)
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  • Director, Compliance Regulatory Initiatives…

    TD Bank (New York, NY)
    …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... 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 (09/21/25)
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  • Vice President, Compliance Regulatory Initiatives…

    TD Bank (New York, NY)
    …experience **Preferred Qualifications:** + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank ... 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 (09/21/25)
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  • Compliance Officer, Regulatory Relations Core…

    TD Bank (New York, NY)
    …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... 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 (09/21/25)
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  • Director, Compliance - Branch Inspections Team…

    TD Bank (New York, NY)
    …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... 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 (09/21/25)
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  • Vice President, Compliance - Monitoring & Testing,…

    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 (09/12/25)
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  • Financial Institutions Group - Payments Sales…

    JPMorgan Chase (New York, NY)
    Join the Foreign Banks and Broker Dealer Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group - Foreign Banks and Broker ... 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 (10/03/25)
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  • Trade Execution Lead

    City National Bank (New York, NY)
    …trade support, or operations within an investment management firm, hedge fund, or broker - dealer * Minimum 3 years of experience executing or supporting ... issues. WHAT WILL YOU DO? * Execute and delegate equity and fixed income trades to custodians and external...and respond to corporate actions, margin alerts, and low cash balances in client portfolios. * Address margin calls… more
    City National Bank (09/24/25)
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  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (Freehold, NJ)
    …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 (10/03/25)
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  • JP Morgan Wealth Management - Private Client…

    JPMorgan Chase (Lakewood, NJ)
    …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 (08/25/25)
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  • Financial Advisor-Southern Ocean County

    TD Bank (Forked River, NJ)
    …from the expertise of others **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... TD includes base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through participation in… more
    TD Bank (10/04/25)
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  • Financial Advisor Manager

    TD Bank (New York, NY)
    …+ Driver's License required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... TD includes base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through participation in… more
    TD Bank (10/11/25)
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  • Asset Management - Real Estate Wealth Management…

    JPMorgan Chase (New York, NY)
    …channels to proactively position our real estate solutions through RIA's and our broker - dealer partners. + Develop and implement a comprehensive sales strategy ... 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 (09/15/25)
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