- JPMorgan Chase (New York, NY)
- …low-latency client solutions tailored for our systematic trading and broker- dealer clients. This involves engaging with clients, exchanges, and alternative ... in close collaboration with various business partners across the Global Equities Sales and Trading organization and JPM's Prime Brokerage team to deliver innovative… more
- TD Bank (New York, NY)
- …group responsible for delivering: . Fixed Income cash securities pricing . FI Dealer -to- Dealer order execution . FI Dealer -to-Client quoting solutions . ... FI automated execution capabilities . FI cash risk calculation . Sales technology . Trade capture and management services Position Overview Description As part of… more
- TD Bank (New York, NY)
- …required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. + ... Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global financial… more
- Monro Muffler/Brake (Medina, NY)
- Monro's family of brands is one of the leading automotive service and tire dealers in the United States. We work on approximately five million vehicles a year, but ... grown to nearly 1,300 auto repair shops and tire dealers in 32 states from coast to coast. Monro...solutions to guests. Additionally, as a key holder and manager on duty (MOD) when needed, the General Service… more
- Neuberger Berman (New York, NY)
- …ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/ sales activities + Oversee the implementation of ... leading high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/ sales practices, and relevant regulatory… more
- Siebert Williams Shank (New York, NY)
- …dual-headquartered in New York and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in public finance ... investment banking, a named dealer on more than 50 commercial paper programs, and...agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital… more
- BMO Financial Group (New York, NY)
- …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 closely ... audits and examinations. + Provides regulatory perspective on business group's sales and marketing materials. + Anticipates/ identifies and analyses risk and… more
- Guardian Life (Albany, NY)
- …environment in the branch office. + Timely communicate preliminary findings to your manager and branch office management verbally and then in writing. + Assist, as ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, with experience at an… more
- Resideo (Melville, NY)
- …for Safety and Security Products** and will collaborate cross-functionally with Sales , Marketing, Quality, Engineering, Supply Chain, and Program Management to drive ... security and new construction channels. + **Customer Engagement & Sales Support** - Serve as a key **liaison with...with generous vacation time that can be scheduled with manager approval based on business priorities and personal needs,… more
- TD Bank (Bronx, NY)
- …service model/experience for TD Wealth clients + Meets quarterly and annual sales goals + Deepens wallet share by anticipating client needs and suggesting ... + 2+ years of providing advice, planning and investment sales + SIE, Series 7, Series 63 required +...This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA… more