- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... complement of sales, trading and research capabilities, to corporate, government and institutional clients. We focus on our clients' overall financial needs, with… more
- TD Bank (New York, NY)
- …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... regulatory obligations and manage employee conduct and behaviors to ensure compliance . GMS maintains strong relationships with registered Supervisors to oversee a… more
- Coinbase (Albany, NY)
- …instruments accounting* within a financial institution (eg, investment bank, hedge fund, broker - dealer ). * Strong analytical and problem-solving skills, with the ... multiple priorities in a dynamic, fast-paced environment. * Experience with SOX compliance within a financial services context. * Proficiency with large ERP systems… more