- CIBC (New York, NY)
- …You'll Succeed** + Supervise and conduct surveillance of the US registered broker - dealer securities trading products, as well as OTC derivative/swap trading ... handling securities and OTC derivative/swap compliance issues gained at an investment dealer , regulator or marketplace + Knowledge of SEC/FINRA/CFTC/NFA and other US… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... associated regulator. + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... associated regulator. + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Chief Compliance Officer, will be a highly visible, senior ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… more
- TD Bank (New York, NY)
- …traders and executes the trade + Ensures all trades are confirmed with the broker / dealer + Inputs trades (post execution), and Verifies transactions meet company ... (including investor relations professionals and C-suite as well as Buy-Side Broker Liaisons). + Work independently while managing multiple live events/projects. +… more
- Atria Wealth Solutions (Corning, NY)
- …about CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year track record of serving the ... needs of credit unions and their members. We're ranked as one of the top broker -dealers in the industry and we work with some of the top financial institutions in… more
- JPMorgan Chase (Hempstead, 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 ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to… more
- BMO Financial Group (New York, NY)
- …activities, risk taxonomies and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited ... to SEC, FINRA, OCC, FRB, NFA and CFTC. + Demonstrated analytical, auditing, writing, communications, and presentation skills. + Strong collaborative skills + Excellent Excel spreadsheet manipulation and data analytic skills; familiarity with PowerBI, Python… more
- Raymond James Financial, Inc. (New York, NY)
- …managing recruitment teams and working with independent advisors or broker - dealer environments preferred. **Licenses/Certifications** SIE required (unless ... exempt). Series 7 and 9/10 (or 24) required, or ability to obtain within 6 months. more