- MUFG (New York, NY)
- …with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and ... requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the… more
- Citigroup (New York, NY)
- …accordance with the business product programs, processes and procedures. + Engage the dealer community to source liquidity + Assist with a trading book and generate ... within a wealth management organization such as a Private Bank or Broker Dealer + Specific experience in Fixed Income Bonds, both primary and secondary markets… more
- TD Bank (New York, NY)
- …+ 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- TD Bank (New York, NY)
- …+ 6 or more years of experience with a registered US broker dealer or regulator. + Knowledge of wholesale banking products and services, operations, regulatory ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- TD Bank (New York, NY)
- …TDS Treasury is part of Global Markets in TD Securities, and manages the dealer 's liquidity, funding and non-trading market risk. Within the group, US TDS Treasury ... without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Federal law… more
- JPMorgan Chase (Jersey City, NJ)
- …(eg, 12 CFR 9) related to asset management, investment advisor, broker- dealer and fiduciary activities. + Knowledge of various financial instruments, investment ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more
- JPMorgan Chase (Jersey City, NJ)
- …+ Knowledge of applicable laws and regulatory requirements related to broker/ dealer and fiduciary activities + Strong interpersonal and influencing skills, with ... the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital… more