- Mizuho Corporate Bank (New York, NY)
- … and a US bank holding company, including subsidiaries such as the broker dealer and derivative trading entities. The candidate will work within Mizuho ... compliance with Enhanced Prudential Standards (EPS) liquidity requirements for Foreign Bank Organizations (FBOs). Scope covers the...and analysis of funding sources and uses for both bank and broker dealer entities.… more
- US Bank (New York, NY)
- At US Bank , we're on a journey to do our best....Assist Sr Traders in executing the funding of the broker dealer through Repo and Securities Lending trading. ... is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities...and Regulatory risks for Corporate Bond, Municipal Bond, Loan, Foreign Exchange, Asset Back, Commodity and Interest Rate Derivative… more
- Federal Reserve System (New York, NY)
- …operational processes. **What we are looking for:** + Advanced understanding of financial markets, banks , broker dealers , bank holding company structures ... We Do:** The Supervision Group of the Federal Reserve Bank of New York (FRBNY) supervises banks ...and funding products. + Strong command of large and foreign bank regulatory and risk management frameworks… more
- Federal Reserve System (Philadelphia, PA)
- …up the Federal Reserve System. It helps formulate and implement monetary policy, supervises banks and bank and savings and loan holding companies, and provides ... project management, first and second line controls, internal audit, compliance, broker / dealer activities, and common governance, reporting, and monitoring… 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 ... with policies and procedures. **Role Objectives** * Perform credit analyses on broker - dealers , insurance, asset managers, hedge funds and other financial… more
- Atria Wealth Solutions (Colorado Springs, CO)
- …financial products. Assist in developing direct mail solicitations. + Follow broker / dealer and insurance company policies and procedures. Maintain blotter, ... LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year...their members. We're ranked as one of the top broker - dealers in the industry and we work… more
- Scotiabank (New York, NY)
- …inclusive work environment. **What You'll Bring:** + A minimum of 3-4 years with a bank or broker - dealer + Foundational understanding of securities laws and ... sales, trading and research, fixed income products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell...regulations pertaining to broker - dealers , including an understanding of requirements for… more
- SMBC (New York, NY)
- …Latin America. SMBC Nikko Securities America, Inc. is a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank , JRI America, Inc., SMBC Leasing and Finance, Inc.,...) and SMBC Nikko Securities Americas Inc (our US Broker - Dealer ), establishing processes to improve customer experience… more
- CIBC (New York, NY)
- …the Securities Act, the Exchange Act, FINRA and CFTC rules and regulations, broker - dealer regulations, and Dodd-Frank Title VII provisions as applied to swaps ... We're building a relationship-oriented bank for the modern world. We need talented,...such as ISDA Master Agreements, CSAs, and MCAs for dealers and end users. + Advise business teams as… more
- Zero Hash (IL)
- …own customer experience quickly and easily (a matter of API endpoints). We power neo- banks , broker - dealers , and payment groups to offer digital asset trading ... and reporting at regulated financial services firms (FinTech, banking, payments, lending, broker dealer , crypto) and/or public accounting experience + 3+ years… more
- SMBC (Jersey City, NJ)
- …its employees. **Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides intvestment securities and other financial services ... SMBC Capital Markets, Inc., SMBC Rail Services LLC, Manufacturers Bank , JRI America, Inc., SMBC Leasing and Finance, Inc.,...financial service industry + 2+ years of financial reporting ( broker dealer experience is a strong plus)… more
- JPMorgan Chase (Brooklyn, NY)
- …business, helps service our core client segments: Asset Managers, Asset Owners, Insurance/GSEs, Banks / Broker Dealers and Hedge Funds and Alternatives. We are ... and asset servicing of securities, along with ancillary services such as Foreign Exchange collateral, derivatives lifecycle management, bank loans, and Liquidity… more
- JPMorgan Chase (Brooklyn, NY)
- …cater to our core client segments, including Asset Managers, Asset Owners, Insurance/GSEs, Banks / Broker Dealers , and Hedge Funds and Alternatives. Our team ... securities. Your role will also involve offering ancillary services such as Foreign Exchange and Liquidity Solutions. Working in conjunction with our Markets… more
- Lincoln Financial Group (Columbus, OH)
- …on securitized structure products. Collect and summarize market information from broker / dealers and rating agencies. **What we're looking for** Bachelor's ... degree or foreign equivalent in Finance, Economics, or a related field...to provide their social security numbers, date of birth, bank account information or other sensitive information in job… more
- Bloomberg (New York, NY)
- …and financial planning & analysis within the financial services industry + Knowledge of broker dealer , MTF, ATS, APA or ARM or any regulated industry. + ... in regulations: Netherlands Authority for Financial Markets ("AFM"), De Nederlandsche Bank ("DNB"), European Securities and Markets Authority ("ESMA"). + Review… more