- TD Bank (New York, NY)
- …support various product lines **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... as needed due to internal changes or regulatory updates and ensuring compliance with all policies and procedures. + Supports management with business analysis… more
- TD Bank (White Plains, NY)
- …experience + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... a key point of escalation and governance, maintaining rigorous standards of compliance and operational excellence. **Depth & Scope:** + Provides oversight of trading… 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 ... , and cross-entity assignments and liaise with legal and compliance team + Produce predefined desk **KPI reports** periodically...in person / remote + Coordinate with **IT, HR, Compliance ** , **Finance** and other internal teams for ad… 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… 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. ... process owner for variable pay and deferred equity, ensure compliance within the group and by service providers. +...may be developed from time to time. + Ensuring compliance with the company's regulatory requirements under the SEC,… 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 ... with underwriting, processing and closing to remedy documentation, processing and compliance issues prior to delivery and loan purchase. ESSENTIAL JOB FUNCTIONS:… 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 ... workflows for new business requirements (Central Clearing, Sponsored Repo, ACAP, etc.). ** Compliance and Risk Management:** + Ensure compliance with regulatory… more
- Wellington (New York, NY)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... will join a specialist legal team that collaborates closely with our business and Compliance colleagues to advance key initiatives of the firm. This role offers the… more
- 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 ... Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) +… more
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... engagements in partnership with internal and external AML and financial crimes compliance , audit, IT, and business teams. + Supervise day to day operations,… more