- 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
- JPMorgan Chase (Washington, DC)
- …in the Maryland and District of Columbia regions, specifically within the Independent Broker Dealer (IBD) channel. Your role will involve promoting and expanding ... 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 (Columbus, OH)
- …by providing industry-leading investment solutions. Our wide array of financial strategies- equity , fixed income, cash management, currency, asset allocation, and ... 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 (Lake Mary, FL)
- …degree and/or 3+ years of relevant work experience. + Knowledge of + Broker Dealer Operations with a focus on Equity Transactions + FX and Wire Transactions ... requirements are met for the successful settlement of foreign broker dealer transactions. Responsibilities Include + Work...Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise,… 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)
- …close. The candidate will review entries and reconciliations for the books of broker dealers and non- broker dealer entities. Specific responsibilities will ... collaboratively to achieve a timely close along side the Broker Dealer reporting and Financial Operations teams...Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise,… more
- City National Bank (Los Angeles, CA)
- …Qualifications** * Two to five years of Client Service or Operational experience at a Broker Dealer or in an investment management environment. * FINRA Series 7 ... preferred. * Two to five years of Client Service or Operational experience at a Broker Dealer . * Knowledge of SEC and FINRA rules and regulations. * Knowledge… 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)
- …partners and groups. + 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, ... 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)
- …**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
- Raymond James Financial, Inc. (Seattle, WA)
- …_About Raymond James:_ _RJA is an investment adviser and full-service broker - dealer dually registered with the Securities and Exchange Commission. ... make moderately complex decisions. **Responsibilities:** + Manage retirement plan cash flow + Monitor and analyze daily transactions and...Division of Raymond James."_ _RJA serves as a clearing broker - dealer and custodian for many of our… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition… more
- TD Bank (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... Language:** + This position is with a FINRA member, broker and/or dealer and is subject to...base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through… 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
- JPMorgan Chase (Jersey City, NJ)
- …laws and regulatory requirements related to private banking, investment advisor, broker - dealer and fiduciary activities. + Experience with internal audit ... manner + Knowledge of applicable laws and regulatory requirements related to broker / dealer and fiduciary activities + Strong interpersonal and influencing… more
- JPMorgan Chase (Columbus, OH)
- …from further analysis, and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker - dealer ... 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 (Jersey City, NJ)
- …requirements (eg, 12 CFR 9) related to asset management, investment advisor, broker - dealer and fiduciary activities. + Knowledge of various financial ... 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 (Greenville, SC)
- …3010(e) and successor regulations **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 (Little River, SC)
- …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