- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding ... DMA, plus award-winning data, insights and analytics [do not delete]. The US Onboarding team is responsible for facilitating the account opening process across a… more
- TD Bank (Lake Mary, FL)
- …This role ensures all requirements are met for the successful settlement of foreign broker dealer transactions. Responsibilities Include + Work with a team of ... Preferred Qualifications: TD Securities is looking for an Ops Analyst I to join their International Settlements team based...operations employees to facilitate the daily settlement of foreign broker dealer transactions while mitigating risk. +… 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 ... of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- TD Bank (Fort Lauderdale, FL)
- …training.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... industry standards. **Job Summary:** The Senior Compliance Business Oversight Analyst provides objective guidance, support and advice to assigned...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- City National Bank (New York, NY)
- …and partner firm contact information including the processing of all changes partner's broker dealer and/or RIA changes. * Build strong relationship with ... *PLATFORM SUPPORT ANALYST * WHAT IS THE OPPORTUNITY? Works with branch...Work on daily reports from platform partners to ensure onboarding data accurate and solve for discrepancies in data;… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, ... similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… 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, ... strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through… more