- BMO Financial Group (New York, NY)
- …Fixed Income Compliance team in New York with a focus on FINRA and SEC broker - dealer requirements and corresponding oversight. We are looking for someone to work ... of business operations and stakeholder needs. + Consult on new products, services and automated systems to assist with incorporating compliance requirements into… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / ... platforms and to enable new Capital Markets capabilities that expand our portfolio of services for clients and in doing so drive continued revenue growth in an… more
- MUFG (New York, NY)
- …of experience in internal audit and/or equivalent of experience with the financial services industry, related markets and regulated industries, specifically in ... actions to count?** Discover your opportunity with Mitsubishi UFJ Financial Group (MUFG), one of the world's leading ...demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such… more
- Mizuho Corporate Bank (New York, NY)
- …designed to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New ... assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout the… 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 ... Inc VP, Senior Investor Relations Success Manager - Corporate Services OTC Markets Group - New York, NY -...Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking a VP, Senior Investor Relations… more
- HUB International (New York, NY)
- …experience as a senior SEC regulatory compliance professional for either a large financial services firm + Experience leading a team and preferably, leading ... & Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer, will be a… 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 ... York, NY - Full Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking an Associate, Investor Access to join our Investor Access team… more
- JPMorgan Chase (Fayetteville, NY)
- …qualifications, capabilities, and skills** + A minimum of 4 years of financial services experience + Demonstrated success in cultivating and maintaining ... offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA...not available in all states. Chase is a leading financial services firm, helping nearly half of… more
- JPMorgan Chase (Brooklyn, NY)
- …Chase & Co. Products not available in all states. Chase is a leading financial services firm, helping nearly half of America's households and small businesses ... customers want. You will lead a team of a Financial Advisors who service a wide range...offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA… more
- TD Bank (New York, NY)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... deepen and broaden the existing relationship by providing excellent service , proactively contacting clients, delivering thought leadership across all...CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to… more