- 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
- TD Bank (New York, NY)
- …adviser + Monitors and communicates legal and regulatory developments in the securities , broker - dealer, investment advisory, and insurance industries and work ... required + Provides support to the CCO of the broker -dealer by hiring, rebuilding/building and managing US based team...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… 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
- 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
- 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
- TEKsystems (New York, NY)
- …- Conduct comprehensive Risk and Control Self-Assessments (RCSA) across broker -dealer operations, including trading, sales, operations, and support functions. - ... such as Reg W and Reg D within the broker -dealer context, particularly in areas like intercompany transactions, liquidity...assessments and institutional financial services. - Regs Focused on: Securities Exchange Act of 1934, FINRA Rule 3110, Rule… 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