- 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
- 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
- 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
- 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 ... regulations of the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities … 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
- TD Bank (New York, NY)
- …analysis and advice to key control partners and the TDS front office. TD Securities is looking for a broker -dealer accountant to join its Product Control ... delivering financial strategy, information, and management support within TD Securities (TDS). A key function within the department is...books and records and regulatory filings for its US broker -dealers as well as non broker dealers.… more
- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- TD Bank (New York, NY)
- …Compliance experience **Preferred Qualifications:** + Experience with a registered US broker dealer, regulator, or global financial organization. + JD preferred but ... at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more