- 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
- 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
- Capital One (New York, NY)
- …surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker -Dealers ( equity trading & fixed income (ABS)). + Oversee the ... for Capital One's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker -Dealers. You will maintain...a variety of all major asset classes (fixed income, equities , derivatives (OTC & exchange traded)) At this time,… 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
- 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:** + 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
- TD Bank (New York, NY)
- …training.** + **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
- Lincoln Financial (New York, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... primary, coinvest, and secondary investments across alternatives strategies including private equity , hybrid credit, and hedge funds *Conduct due diligence on… more
- TD Bank (Melville, NY)
- …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
- JPMorgan Chase (Islip, NY)
- …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
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... 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 (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 ... TD includes base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through participation in… more
- JPMorgan Chase (New York, NY)
- …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
- TD Bank (New York, NY)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker 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
- JPMorgan Chase (New York, NY)
- …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)
- …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)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... 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