- MUFG (New York, NY)
- …as the technical bridge between operations and the technology that powers our broker - dealer settlement engine. This role requires deep expertise in trade flows, ... or a related field. * 8+ years of progressive experience in broker - dealer back office, financial technology, or equivalent financial operations roles.… more
- Guardian Life (New York, NY)
- …standards impacting Guardian's retail wealth management business, including its affiliated broker - dealer and investment adviser entities. + Assist with the ... familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, experience at an… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables ... updates + Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments, and controls testing)… more
- Insight Global (New York, NY)
- …The Compliance Officer will report to a supervisor with the Wealth Management Broker / Dealer Compliance division. * Review marketing material for consistency with ... 5 years of relevant work experience with a financial institution such as a broker / dealer . Minimum 3 years compliance experience with a broker / dealer . more
- Hold Brothers (New York, NY)
- About the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer . We strive to be a complete destination for traders looking to ... with Hold Brothers Capital LLC, are required to be registered, and licensed with our broker - dealer in order to trade at the firm. Either, an active Series 7 and… more
- Foresters Financial Services (Albany, NY)
- …independent and institutions-based advisors the benefits of a large, established broker - dealer and registered investment adviser, while serving advisors and ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services, practice… more
- GE Vernova (New York, NY)
- …markets products and services, including third-party fundraising and management. + Broker - Dealer Compliance: Coordinate and execute compliance obligations for ... regulated securities transactions arranged through a registered Broker - Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private… 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, setup, ... a 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)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global… more
- MUFG (New York, NY)
- …Summary: We seek a skilled QA Engineer Analyst to join our team at a leading broker dealer in the capital markets. This role focuses on ensuring the quality and ... with cloud platforms (AWS, Azure, GCP). Preferred Qualifications: - Experience in broker dealer or financial services environment. - Certifications in QA… more