- 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
- Raymond James Financial, Inc. (New York, NY)
- …knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and regulations of ... the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear,… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... verbal and written communicator with detailed oriented nature. + Must have strong subject matter knowledge of financial crime risks and controls relating to investment banking / capital markets, with a preference for candidates also displaying this knowledge… more
- Robert Half Finance & Accounting (New York, NY)
- …Financial Services are hiring for a Compensation Accounting Manager role for a global Broker Dealer & Capital Markets firm located in midtown Manhattan New York. ... Our client requires 5+ years Compensation Accounting experience within the Financial Services Industry (Banking, Securities, Capital Markets, Asset Management etc.). Must have experience with Deferred Compensation/Equity, Variable Pay/Bonuses, Cost Control,… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... knowledge of various loan types and FN/FH/GN and private Investor delivery requirements. * Thorough understanding of Federal and State regulations including but not limited to FHA/VA and Conventional guidelines, RESPA, TILA, HOEPA, MDIA, QM and ATR… 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
- MUFG (New York, NY)
- …3-5 years of experience in US Treasury securities settlements, preferably in a broker - dealer environment. + Strong analytical and problem-solving skills with a ... high attention to detail. + Proficiency BONY BDC, Broadridge Impact, Broadridge BPS and MS Excel. + Excellent communication and interpersonal skills. + Ability to work independently and as part of a team in a fast-paced environment. + Meticulous in ensuring… more
- ManpowerGroup (New York, NY)
- …with large, complex projects involving multiple teams + Knowledge of securities broker / dealer registration and licensing rules + Proficiency in creating policy, ... procedure, and playbook documents + Strong communication skills to interface effectively with senior management + Excellent organizational, problem-solving, and time management skills **What's in it for me?** + Opportunity to work on impactful projects within… 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 the… 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 the… more