- JPMorgan Chase (New York, 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
- Kestra Financial (Wappingers Falls, NY)
- …in the financial services industry, allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 required + Series 65/66 preferred: (or… more
- MUFG (New York, NY)
- …Prior internship or experience in financial services (Global Bank / Sales & Trading / Broker - Dealer ) is a plus (but not mandatory) The typical base pay range for ... this role is between $69K - $100K depending on job-related knowledge, skills, experience and location. This role may also be eligible for certain discretionary performance-based bonus and/or incentive compensation. Additionally, our Total Rewards program… more
- Mizuho Corporate Bank (New York, NY)
- …risk capital calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III + Conduct quantitative ... analyses to explain variation in the risk capital under US and Japanese Basel approaches + Prepare and distribute risk capital reports, including rigorous data validation and effective commentary + Review, monitor, and manage risk capital budgets + Establish,… 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
- ServiceNow, Inc. (New York, NY)
- …onboarding, complaints, fraud and disputes management to decedent, trade exceptions, broker / dealer servicing, etc -to execute **uniform information, predictive ... AI, and unmatched operational efficiency.** **What You Will Drive: CRM & AI for Strategic Success** **Your focus will be on converting industry complexity into measurable business value:** + **Financial Services Vertical Strategy & Execution:** + **Account… more
- JPMorgan Chase (New York, NY)
- …in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and ... alternative trading systems (ATSs), while collaborating closely with the firm's compliance and business control management teams to ensure adherence to control, risk management, and regulatory obligations. You will work in close collaboration with various… more
- Ankura (New York, NY)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Ankura (New York, NY)
- …commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered ... advisor] and cannabis is the ideal candidate; + Knowledge of license acquisition and maintenance for some of the above license types is required; + Working knowledge of NMLS system is required; + Willing to build and maintain strong working relationships with… more
- Ankura (New York, NY)
- …root cause analysis, pre-issuance and post-issuance reviews of issuer and broker - dealer audit engagements, leading and supporting investigations, and independent ... monitorships for regulatory undertakings. Role Overview: Ankura Consulting has a full-time position for a Senior Director in its Audit Advisory Practice. Audit Managing Directors provide subject matter expertise on a variety of topics including the application… more