- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker -dealers rely on to facilitate trading. Our innovative model offers… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker -dealers rely on to facilitate trading. Our innovative model offers… more
- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker -dealers rely on to facilitate trading. Our innovative model offers… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- JPMorgan Chase (Bronx, 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
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... SEC, FINRA, CFTC, NFA, or Exchange Market Surveillance department) is highly desired. + In-depth knowledge of trade and communications surveillance tools and vendors, for detecting market abuse and manipulation. + Product knowledge of FX, exchange traded… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg, ... legal, compliance, IT, etc.) to support the creation and maintenance of these reports. This role will provide the individual the opportunity to expand their expertise in the regulatory reporting space and contribute to the creation and expansion of this new… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- TIAA (New York, NY)
- …+ Experience in securities litigation, enforcement matters, investigations, ERISA, antitrust, broker - dealer , and/or insurance law a plus. + Strong verbal ... and written communication skills, interpersonal skills and organizational skills. + Advanced problem solving and prioritization skills. \#LI-CS1 Related Skills Accountability, Adaptability, Communication, Digital Savviness, Influence, Legal Collaboration /… more