- Robert Half Finance & Accounting (New York, NY)
- Description A leading global Broker - Dealer & Capital Markets firm is seeking a Head of Treasury to join their growing team in New York City. This role is a ... 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 ... more
- Citigroup (New York, NY)
- …in transactional work, including cross-border experience is preferred. + Knowledge of broker dealer regulatory requirements is desirable + Experience working in ... 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 ... more
- Manulife (Boston, MA)
- …experience. + The candidate must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) ... more
- SMBC (New York, NY)
- …regulatory advisory function and is responsible for overseeing the management of the broker dealer 's compliance risk, and is represented by the Chief Compliance ... more
- US Bank (Washington, DC)
- …Include** - Advise on secondary market trading matters - Review broker - dealer transactional agreements, including securities lending and repurchase agreements ... 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 ... 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 ... more
- Wellington (Boston, MA)
- …enhancements structure, * Collaborate with sales teams to identify improvements for the broker dealer workflows, processes, and systems. * Maintain and track ... more
- NatWest Markets (Stamford, CT)
- …+ Experience working within a legal or compliance function of a Swap Dealer or a broker dealer . + Understanding of US regulatory requirements ... more
- Principal Financial Group (Grand Rapids, MI)
- …investment account applications. Manage account openings and asset movement requests with broker dealer . + Utilize industry technology, such as Salesforce CRM ... more
- T. Rowe Price (Baltimore, MD)
- …Perform independent credit analysis and due diligence on new and existing bank and broker / dealer counterparties used for trade execution by the firm's Global ... more
- JPMorgan Chase (Columbus, OH)
- …from further analysis, and develop actionable recommendations. + Specific knowledge of core broker - dealer systems, operation of common broker - dealer ... more
- CBRE (New York, NY)
- …and global financial regulations. Lead project teams and coordinate projects with global legal , compliance, and business colleagues. + Identify and mitigate ... more
- Mizuho Corporate Bank (New York, NY)
- …management, and business support within Capital Markets Treasury. Capital Markets Treasury includes a broker dealer , swap dealer , derivative dealer , and ... more
- Mizuho Corporate Bank (New York, NY)
- …and assumption development within Capital Markets Treasury. Capital Markets Treasury includes a broker dealer , swap dealer , derivative dealer , and ... more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated insurance experience. + Experience in insurance and broker - dealer matters, including knowledge of state insurance laws and ... more
- SMBC (New York, NY)
- …Security, Operations, Procurement, Third-Party Risk, Human Resources, Capital Markets, Nikko ( broker dealer ), and Corporate Services. In particular: + Serving ... more
- Citigroup (New York, NY)
- …experience when dealing with Citi. **Responsibilities:** + Proactively reach out to current broker dealer clients and potential prospects to market product ideas ... more