- 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 ... a Market Director of Wealth in JP Morgan Wealth Management , you will create a culture of excellence and...promote Advisors + Drive integration with partners from Branch Management , Business Banking and Home Lending to give our… more
- 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 ... within a geographic area. + Participate in the design, implementation and management of core business/group processes. + Conduct and/or effectively challenge risk… more
- MUFG (New York, NY)
- … Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... designed to evaluate and assess the effectiveness of the Bank's governance, risk management and control processes. This role includes, but is not limited to,… 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 ... owns critical processes across conference operations, sales, marketing, and product management , utilizing sophisticated proprietary event management and 1x1… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer, will be a ... HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services,… 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 ... 5-7 years in a sales role with at least 5 years in Relationship Management + Experience of financial markets and cross-border Investor Relations is a highly… more
- Bank of America (New York, NY)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... Enterprise Financial Risk (EFR) seeks to deliver effective independent risk management of the activities and processes associated with managing the Company's… more
- JPMorgan Chase (New York, NY)
- …Skills:** + ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index ... you an experienced attorney with a passion for investment management ? Join our dynamic team at JPMorgan Asset ...management ? Join our dynamic team at JPMorgan Asset Management , where you'll play a pivotal role in shaping… more
- TD Bank (New York, NY)
- …manage multiple deadlines and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... out the US product suite and its ongoing product management and development. This role leads the development and...client solutions, and, tools related to all US Wealth Management product offerings. This role uses change leadership capabilities,… 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 ... aspects of the full data pipeline lifecycle, including acquisition, transformation, management , export, and analytics. + Experience to efficiently handle complex… more