- OTC Markets Group Inc (New York, NY)
- …SEC regulated ATS, operated by OTC Link LLC, a FINRA and SEC registered broker - dealer , member SIPC. Applicants have rights under the federal law: Equal ... OTC Markets Group Inc Associate , Investor Access OTC Markets Group - New...and enhancements. + Client Support: Guide VIC clients through onboarding and provide ongoing support and communication post-conference. +… more
- BlackRock (New York, NY)
- …rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker - dealer , mutual fund, or ETF business with 1+ years advertising ... **About this role** ** Associate , Global Product Solutions ETF Regulatory Marketing Review**...on this hybrid model to accelerate your learning and onboarding experience here at BlackRock. **About BlackRock** At BlackRock,… more
- TD Bank (New York, NY)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities ... 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… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... management of vendor payment and expense reimbursement, arrangement consultant onboarding , support to Intra-office Inspection, etc.. Core Competencies Bachelor's… more