- MUFG (New York, NY)
- …is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity ... Exchange Act, and (b) they do not conflict with the background screening requirements of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA). The major responsibilities listed above are the material job duties of this… more
- Bloomberg (New York, NY)
- …risk product knowledge as well as an in-depth knowledge of cross asset securities pricing and valuation. During the onboarding phase, you will assist clients in ... configuring the necessary set up to generate risk analytics and support them in understanding the methodologies underpinning these risk analytics. You will use your strong project management capabilities to coordinate all aspects of the on-boarding process,… more
- Mizuho Corporate Bank (New York, NY)
- …EUC controls. + Working knowledge of financial products (eg loans, deposits, securities , derivatives, money market products, repos etc.). + Strong ability to handle ... multiple tasks to cover both production and governance. The expected base salary ranges from $91,000 - $140,000. Salary offers are based on a wide range of factors including relevant skills, training, experience, education, and, where applicable,… more
- Citigroup (New York, NY)
- Citigroup Global Markets Inc. is a global investment bank and securities brokerage firm that, along with its Citigroup affiliates, provides complete financial ... solutions to corporations, governments, institutions and individuals in 100 countries. The Equities business is seeking an Electronic Trading Product Manager at the Director level to build on and innovate Citi's electronic trading offering for key… more
- Raymond James Financial, Inc. (Locust Valley, NY)
- …used in the industry. + Principles of estate planning, trusts and securities industry operations. + Financial markets and products. + Effectively managing client ... relationships. + Strategic planning as part of client retention focus. + Gathering and compiling information and data. + Preparing and delivering written and oral presentations. + Operating standard office equipment and using required software applications. +… more
- OTC Markets Group Inc (New York, NY)
- …(OTCQX: OTCM) operates regulated markets for trading 12,000 US and international securities . Our data-driven disclosure standards form the foundation of our three ... public markets: OTCQX(R) Best Market, OTCQB(R) Venture Market and Pink(R) Open Market. Our OTC Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker-dealers rely on to facilitate trading. Our innovative model offers… more
- JPMorgan Chase (New York, NY)
- …focused regulatory examinations and regulatory engagements conducted by banking and securities regulators, including the OCC, FRB, FDIC, SEC, FINRA, CME, NFA, ... and State regulators. Your daily routine includes interaction with various executive level internal clients in Global Technology and across the Lines of Business and Corporate Functions. You will interact with examiners at the regulators to schedule meetings… more
- Equitable (New York, NY)
- …portfolios; ability to utilize relevant tools and techniques in managing clients' securities investments. **ABOUT EQUITABLE** At Equitable, we're a team committed to ... helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. At Equitable, we're a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and… more
- Janus Henderson Investors (New York, NY)
- …of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political ... contributions and political activities. Applicants' past political contributions or activity may impact applicants' eligibility for this position. You will be expected to understand the regulatory obligations of the firm, and abide by the regulated entity… more
- Equitable (New York, NY)
- …portfolios; ability to utilize relevant tools and techniques in managing clients' securities investments. **ABOUT EQUITABLE** At Equitable, we're a team committed to ... helping our clients secure their financial well-being so that they can pursue long and fulfilling lives. At Equitable, we're a team of over ten thousand strong; committed to helping our clients secure their financial well-being so that they can pursue long and… more