- JPMorgan Chase (Brooklyn, 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
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... Experience working AML technology platforms. + Experience with data analytics tools and engineering skills using Informatica, Kafka, Snowflake, Hadoop + Experience with techniques and algorithms to include sampling, optimization, logistic regression, cluster… more
- TD Bank (New York, NY)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and ... analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to influence and lead at a senior… more
- Santander US (Brooklyn, NY)
- …defined on a quarterly basis. * Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of investment ... and insurance products including Santander Policy Statement governing the sale of uninsured products. * When appropriate, provide leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans. * Attend and… more
- New York State Civil Service (Albany, NY)
- …reports for review by the unit Manager.Assist in the evaluation of broker - dealer and other service provider performance.Assist with the development and ... maintenance of the Bloomberg trading system, including the set-up and maintenance of reports, interfaces, and troubleshooting.Assist in the preparation and maintenance of schedules with a moderate level of difficulty.Assist in the preparation of management… more
- City National Bank (New York, NY)
- …and partner firm contact information including the processing of all changes partner's broker dealer and/or RIA changes. * Collect information from third parties ... and transcribe to CNB systems and enter manually into system records, collect signatures and then open accounts * Data entry from pdfs into spreadsheets and Salesforce *The Qualifications* * Excellent computer literacy with a proven proficiency in Microsoft… more
- BMO Financial Group (New York, NY)
- Member of the broker / dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed ... assist in CMC regulatory reporting and other financial/statutory reporting matters. Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury activity. + Preparation of weekly… more
- KeyBank (Albany, NY)
- …full-time career to Key. Key Investment Services LLC (KIS) is a FINRA registered broker / dealer , SEC registered investment advisory firm and partners with ... KeyCorp Insurance Agency USA Inc., a licensed insurance agency. KIS provides investment guidance, planning services, investment and insurance products to Key's mass and mass affluent customer base. We help customers plan for retirement, educate their families,… more
- JPMorgan Chase (New York, NY)
- …channels to proactively position our real estate solutions through RIA's and our broker - dealer partners. + Develop and implement a comprehensive sales strategy ... that aligns with the platform's objectives, driving both growth and competitive positioning. + Work collaboratively with internal partners to position our real estate solutions, focusing on consistency, efficiency, and timely delivery of materials and reports.… more
- Wells Fargo (New York, NY)
- …a focus on margin and Prime Brokerage accounts + Strong knowledge of Broker - Dealer Operations functions with a preference for margin regulations and frameworks, ... including Reg. T, FINRA 4210, and Portfolio Margining + Experience with daily monitoring of exceptions and executing proper close-out procedures + Ability to multi-task in a fast-paced environment while maintaining attention to detail and complying with all… more