- SMBC (New York, NY)
- …traded products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...broker dealer businesses including derivatives, FX, repo and securities lending. As part of the first line of… more
- Marex (New York, NY)
- …work environment. Skills and Experience + Fifteen (15+) plus years of securities advisory experience. Knowledge of broker -dealer activities and requirements. + ... Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed… more
- SMBC (New York, NY)
- …compliance experience at a broker dealer. + A solid foundation in US securities laws and regulations and broker dealer operations, products and services. + ... a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has...and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the… more
- Bank of America (New York, NY)
- …department on a wide variety of legal issues. Knowledge of the US securities laws, broker -dealer regulations, and banking regulations impacting the business, ... transactions and public-private interactions. + Experience with primary offerings and Securities Act issues helpful as is knowledge of processes concerning mortgage… more
- Raymond James Financial, Inc. (New York, NY)
- …Abilities** **Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker /dealer compliance and/or branch exams + Rules and ... and skills obtained through experience, specialized training and/or certification in securities industry to conduct onsite* branch examinations of retail brokerage… more
- Siebert Williams Shank (New York, NY)
- …trading platform, and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority ... (FINRA) and the Municipal Securities Rulemaking Board (MSRB). Our diverse professionals are not only committed to providing the highest level of value-added services… more
- TD Bank (New York, NY)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management + Experience supporting the ... jurisdictions and business lines, including consumer and commercial banking, broker -dealer operations, and wealth management. This role also supports strategic… more
- Guardian Life (New York, NY)
- …portfolio of individual life and annuity insurance products. Park Avenue Securities is Guardian's broker -dealer and corporate Registered Investment Advisor ... Park Avenue Securities was founded in 1999 as a complement...several responsibilities, working with the rest of Park Avenue Securities , Advisors, General Agents and Sponsor Partners + Able… more
- US Bank (New York, NY)
- …and/or as in-house counsel supporting capital markets products + Experience with securities laws and broker -dealer regulatory matters + Experience with corporate ... corporate and municipal bond sales, trading, and origination, asset-backed securities and CLOs, interest rate derivatives, commodity derivatives, foreign exchange,… more
- TD Bank (New York, NY)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker -dealer), and wealth management businesses + Excellent written, ... verbal and analytical skills + Highly motivated, strong attention to detail, team oriented, organized + Strong interpersonal and presentation skills with the ability to articulate complex problems and solutions through concise and clear messaging; ability to… more