- Foresters Financial Services (Westbury, NY)
- Sales Support Associate Sales Westbury, New York Apply Description What we need: This role supports the Registered Financial Services Sales Representative's business ... and institutions-based advisors the benefits of a large, established broker- dealer and registered investment adviser, while serving advisors and institutions… more
- MUFG (New York, NY)
- …ability to place/trade day-to-day ABCP for one of the two conduits through our Dealer Panel which comprises of major Wall Street ABCP dealers including MUSA. The ... office ABCP systems and processes/procedures. + Ideally prior experience with a CP dealer or ABCP group. + Knowledge of commercial paper clearing through DTC,… more
- US Bank (New York, NY)
- …supporting capital markets products + Experience with securities laws and broker- dealer regulatory matters + Experience with corporate finance, in particular the ... regulatory authorities, especially the SEC and FINRA + Experience with broker- dealer corporate governance + Familiarity and experience with relevant trade groups… more
- BlackRock (New York, NY)
- **About this role** ** Associate , Global Product Solutions ETF Regulatory Marketing Review** **Location: New York or Boston** **About this role** Elevate your career ... and global markets. **Role Description** We are seeking an Associate to join the iShares Communications Review team. This...Bachelor's degree + 3+ years compliance background with a broker- dealer , mutual fund, or ETF business with 1+ years… more
- SMBC (New York, NY)
- …Description** SMBC Capital Markets, Inc. (CM) is seeking a Risk Governance Associate within its Risk Management Department. This role will oversee coverage across ... to enhance the efficiency of our risk organization in the US. The Associate will collaborate with teams in the Front Office, Finance, Accounting, Compliance, Legal,… more
- TD Bank (New York, NY)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Associate Private Client Relationship Manager (ARM) is a high-touch point of client ... on clients who maintain smaller balances with TD. The Associate Private Client Relationship Manager I will serve as...1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA… more
- JPMorgan Chase (West Harrison, NY)
- …solutions to meet their financial needs. As a Private Client Investment Associate in JP Morgan Wealth Management, you will provide client service, operational ... 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… more
- JPMorgan Chase (New York, NY)
- …investment solutions to meet their financial needs. As a Private Wealth Associate in Chase Wealth Management, you will offer comprehensive financial planning and ... 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… more
- TD Bank (New York, NY)
- …control partners and the TDS front office. TD Securities is looking for a broker- dealer accountant to join its Product Control division in New York City. ... Associate - TDS Finance - US - Controller function for TD's US Wholesale entities. The successful candidate will be responsible for the team's effort in accurate and… more
- Kestra Financial (Wappingers Falls, NY)
- The Associate /Service Advisor reports to the Lead Advisor and serves as the primary contact for customer relationship management and account servicing. This position ... in the financial services industry allowing for a strong understanding of broker/ dealer operations and financial services products, including but not limited to:… more