- CIBC (New York, NY)
- …Succeed** + Supervise and conduct surveillance of the US registered broker- dealer securities trading products, as well as OTC derivative/swap trading products, ... handling securities and OTC derivative/swap compliance issues gained at an investment dealer , regulator or marketplace + Knowledge of SEC/FINRA/CFTC/NFA and other US… more
- Foresters Financial Services (Albany, NY)
- …and institutions-based advisors the benefits of a large, established broker- dealer and registered investment adviser, while serving advisors and institutions ... Cetera include award-winning wealth management and advisory platforms, comprehensive broker- dealer and registered investment adviser services, practice management support… more
- TD Bank (New York, NY)
- …not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding of… more
- TD Bank (New York, NY)
- …but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding of… more
- GE Vernova (New York, NY)
- …products and services, including third-party fundraising and management. + Broker- Dealer Compliance: Coordinate and execute compliance obligations for regulated ... securities transactions arranged through a registered Broker- Dealer and Financial Industry Regulatory Authority (FINRA) member firm, including private placements and… more
- TD Bank (New York, NY)
- …This function enables efficient and effective program delivery of the dealer 's major, cross functional initiatives. TDS Change Delivery reflects a significant ... evolution of our approach to managing and delivering change in the dealer 's largest cross functional initiatives. **Depth & Scope:** + Supports the end-to-end… more
- Kestra Financial (Kings Park, NY)
- …keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance + Process, ... the financial services industry allowing for a good understanding of broker/ dealer operations and financial services products, and basic financial planning concepts.… more
- Guardian Life (Albany, NY)
- …of state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, with experience at an ... insurance-affiliated broker/ dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120 days. + A… more
- TD Bank (New York, NY)
- …not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... + Firm understanding of global security and derivative products and markets including trading behaviors, market platforms, vendor technologies and operational elements. Experience in trade or communications surveillance a plus. + Firm understanding of… 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 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 Chase &… more