- Siebert Williams Shank (New York, NY)
- …Williams Shank & Co., LLC ("SWS" or the "Firm") (a FINRA-registered broker / dealer ) is seeking to add a motivated compliance professional to assist the ... SIE, Series 7 licenses required + At least 3 years of compliance experience ( broker - dealer preferred) + Experience with fixed income products (notably… more
- NatWest Markets (Stamford, CT)
- …out in the United States. **Job description** **Swap Dealer Testing Associate ** **2LOD** This roleis responsible forassessing compliance risks and controls ... Swap Dealer Testing Associate Stamford,United States Permanent...swap- dealer business. + Good knowledge of swap dealer regulations, and securities products and compliance … more
- BMO Financial Group (New York, NY)
- …Income product knowledge and understanding of sales & trading activities. + Knowledge of Broker Dealer rules and regulations, which include but not limited to ... and operating the First Line of Defense's Operating Group Compliance Program (OGCP). The OGCP is the system of...the Line of Business and colleagues within CMS, the Associate will be responsible to understand and review assigned… more
- MUFG (New York, NY)
- …3-5 years of experience in US Treasury securities settlements, preferably in a broker - dealer environment. + Strong analytical and problem-solving skills with a ... A member of our recruitment team will provide more details. The Fixed Income Associate /AVP is responsible for the settlements of a high dollar value US Treasury… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will provide client service, operational… more
- Broadridge Financial Solutions (New York, NY)
- …get ahead of todays challenges to capitalize on whats next. Bank, Broker - Dealer (BBD) and Broadridge Customer Communications (BRCC) drives business ... transformation for its bank and broker - dealer clients, with communications, technology, data, and...all parts of their business, including trading, proxy and compliance , corporate actions, notifications and election capture, global class… more
- Siebert Williams Shank (New York, NY)
- …platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA) ... a search for an experienced Investment Banking Analyst and Associate to join its Infrastructure and Public team and...national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and… more
- SMBC (New York, NY)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... on North America and Latin America. The Client Onboarding Associate will be responsible for managing the Client On-boarding...any other duties as assigned. + Working closely with Compliance , Tax, Legal and other teams to render policies… more
- TD Bank (New York, NY)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities ... but not limited to, distribution, supervision, product, operations, legal, compliance , technology) in designing and implementing process development and the… more