- Brookfield Asset Management, Inc. (New York, NY)
- …for a range of work, including key responsibilities of a broker dealer . The candidate will collaborate with legal and regulatory personnel at BOWS ... a law firm is preferred Bachelor's degree required Experience working in a broker dealer , asset management, capital markets, securities or financial services… more
- Jefferies (New York, NY)
- …integrated investment banking and securities firm. Our largest subsidiary, Jefferies LLC, a US broker - dealer , was founded in the US in 1962 and our first ... international operating subsidiary, Jefferies International Limited, a UK broker - dealer , was established in the UK in 1986. Our strategy focuses on continuing to… more
- 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
- MUFG (New York, NY)
- …practices. + Work closely with Global colleagues and US counterparts to ensure that Broker Dealer are aligned with peer broker dealer practices and ... our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital… 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 (Jersey City, NJ)
- …reporting teams. The Regulatory Reporting Controller II role is within the GRR Broker Dealer organization responsible for the preparation of Regulatory Reporting ... computations - Prepares and reviews trend and analytical reporting related to Broker Dealer computations - Works with internal controls functions and… more
- US Bank (New York, NY)
- …Team. This attorney will lead a team of legal professionals who provide legal support for US Bank's Global Capital Markets group, which includes the ... private placements, and repo and securities lending. **PRIMARY RESPONSIBILITIES:** + Provide legal support to the Global Capital Markets business + Collaborate… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry… more
- SMBC (Jersey City, NJ)
- …scope of this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how… more
- TD Bank (New York, NY)
- …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...with Compliance partners and other related groups (such as Legal and Risk) to support creation of documentation and… 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
- JPMorgan Chase (New York, NY)
- …rules, related to the supervision and risk management of credit exposures in broker - dealer operations; ensuring compliance with Title VII of the Dodd-Frank Act, ... Grading, OTC and F&O Clearing Risk and also specific legal entity documents like JPMS LLC Credit Risk Management....especially those acting as Future Commission Merchant and Swap Dealer in order to assess impact to Credit Risk;… 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
- 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
- Wells Fargo (New York, NY)
- …1933 and the Securities Exchange Act of 1934 + Familiarity with FINRA rules and broker - dealer compliance + Experience working with or advising ECM/DCM desks at a ... seeking a highly experienced and commercially minded attorney to join our Legal Department as Assistant General Counsel supporting the Equity Capital Markets (ECM)… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... You'll collaborate cross-functionally with teams including Marketing, Client Relations, Legal , and Accounting to ensure successful event execution and client… 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
- Citigroup (Jersey City, NJ)
- …rules and regulations + Demonstrated knowledge in area of focus including, Broker Dealer Information Barriers, Corporate and Investment Banking, Capital Markets, ... Compliance Risk Management (ICRM)'s Control Room team. The ICRM Global Surveillance platform encompasses a number of Surveillance/Control related portfolios… more
- JPMorgan Chase (New York, NY)
- …* Build and maintain relationships with investment bankers and analysts, the broker - dealer community, rating agencies, and legal professionals, among ... The Global Fixed Income Currency and Commodities team (GFICC)...facilitates the comparison of ideas across sectors and geographies. Global Fixed Income, Currency and Commodities manages a broad… more
