- Citigroup (New York, NY)
- **Position Overview:** Citi's Global Broker - Dealer Legal Entity Treasury team is seeking a highly qualified AVP candidate to support Broker - Dealer ... and oversight requirements within the Treasury organization. **Team Description:** The Global Broker - Dealer Legal Entity Treasury team within the… 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
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide critical analysis and discussion...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- Citigroup (Getzville, NY)
- …flows including closely coordinated positioning requirements of Bank and Broker Dealer businesses. * Global legal vehicle re-structuring initiatives ... related to changes in tax rules, emerging/ongoing resolution requirements, legal entity simplification, and acquisition/divestiture activity. * Global M&A… 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
- Citigroup (Tampa, FL)
- …coordination of the day-to-day activities of the complaint intake function for Citi's broker - dealer , Citigroup Global Markets ("CGMI"); assistance with the ... with compliance and control; partners with operations, risk, compliance, legal and other entities to ensure accuracy and validity...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… 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
- 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
- Bank of America (Charlotte, NC)
- …and ensure Risks identified are reflected across all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer capital rules, ... and developing talent, advancing careers, and creating leaders within Global Risk Management and across the company. Our goal...capital management activities, including capital planning and forecasting for broker dealer and swap dealer … more
- JPMorgan Chase (Jersey City, NJ)
- …manner + Knowledge of applicable laws and regulatory requirements related to broker - dealer and fiduciary activities + Knowledge of various financial instruments, ... forums. **Job responsibilities** + Lead and participate in audit engagements, including global audits, from planning to reporting. Ensure the production of quality… more
- US Bank (Atlanta, GA)
- …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
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related ... brokerage and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with investment adviser,… 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
- Principal Financial Group (Denver, CO)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... onboarding new client accounts, managing account openings and asset movement requests with broker - dealer , and serving as a point of contact between financial… 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
- JPMorgan Chase (Columbus, OH)
- …from further analysis, and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker - dealer ... secure buy-in from senior leadership. + Collaborate with internal technology, operations, legal , risk, and compliance partners to develop requirements for the target… more
- JPMorgan Chase (Plano, TX)
- …organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and ... The US Wealth Management Legal team is seeking an attorney to support...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… 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