- JPMorgan Chase (New York, NY)
- …+ ETF experience and in-house legal experience. + Experience advising on broker- dealer issues. + Expertise in complex transactions and index management. + Strong ... motivator and self-starter. + Demonstrated ability to innovate and think strategically. + Experience in building and maintaining client relationships. All candidates for roles in the Legal department must be licensed to practice law in the country of… 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 Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more
- Hyundai Careers (Kingston, NY)
- …replace batteries, and perform minor service work as assigned in accordance with dealer and factory standards. Potential to be further trained leading to a rewarding ... career as a Certified Technician. more
- TD Bank (New York, NY)
- …Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global financial ... institutions' operational, financial, sales and trading, and regulatory reporting activities and their obligations to applicable rules and regulations. + Working knowledge of financial industry regulatory landscape. + Excellent interpersonal, organizational,… more
- KeyBank (Albany, NY)
- …group of KIS registered representatives on behalf of the bank channel broker- dealer . The Central Supervision Principal is responsible for the principal supervision ... and surveillance of all bank brokerage, advisory and insurance sales activities. This includes, but is not limited to, new account opening, investment and insurance suitability review, financial planning oversight, customer complaint research and resolution,… 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
- JPMorgan Chase (New York, NY)
- …private placements and direct purchases, such as bond purchase agreements, dealer manager agreements and private placement engagement letters. + Provide guidance ... on public finance related advisory mandates and review engagement letters for such mandates. + Supervise external counsel, handle various knowledge management and other projects to support the internal legal team and will assist bankers and internal lawyers in… more
- NBT Bank (Williamsville, NY)
- …and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA Series 7, Series ... 63 and life insurance license or a Registered Investment Advisor (RIA) Tasks Performed: + 40% Conducts regular client review meetings to uncover additional investment and insurance needs and to develop deeper relationships through financial planning with a… more
- Raymond James Financial, Inc. (New York, NY)
- …matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable regulations and ... interpretations, including customer and PAB reserve computations (SEA rule 15c3-3) and net capital computation (SEA rule 15c3-1). + Works with RJF Compliance Pillars to appropriately assess risks, obligations, and develop KRIs. + Reviews and supports the… more
- SMBC (New York, NY)
- …with offices in London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio, with specific emphasis on interest rates and ... foreign exchange products such as interest & FX swaps, FRAs, options, exotic products, commodity derivatives as well as exchange traded products such as treasury bonds, interest rate futures & options, currency futures, treasury futures & options, etc. Based… more