- Guardian Life (New York, NY)
- …products and services offered by Guardian and its subsidiaries, including affiliated broker dealers, comply with applicable laws, regulations, and standards. This is ... compliance programs that ensure adherence to company policies and insurance and securities regulations. + Support the development of the compliance team's data… more
- BMO Financial Group (New York, NY)
- …Income Compliance team in New York with a focus on FINRA and SEC broker -dealer requirements and corresponding oversight. We are looking for someone to work closely ... best execution/order handling, and Market Access. + Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact.… more
- Citigroup (New York, NY)
- …including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. Citi enables clients ... Good knowledge of major Fixed Income Products (eg Bonds/Swaps/Futures) and Broker /Customer Markets electronic trading flows. + Desirable - Experience developing… more
- Lincoln Financial (Albany, NY)
- …and Tax basis. They will be responsible to perform more complex securities research, analysis, and proper accounting treatment of Lincoln Financial (LF) investment ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Lincoln Financial (Albany, NY)
- …and a Member of the Bar in good standing is required Experience + Experience with Securities Act of 1933 and Investment Company Act of 1940 + Minimum of 10+ years' ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Capital One (New York, NY)
- …management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) activities. + ... of experience working in Product Management + At least 7 years of experience in securities origination or trading management in Capital Markets + At least 7 years of… more
- TD Bank (New York, NY)
- …a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work independently. ... & duties are considered essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- MUFG (New York, NY)
- …Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer, ... 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… more
- Bloomberg (New York, NY)
- …when they need it, in the format they prefer. Out of the millions of securities that exist, most are thinly traded and difficult to price. Historically, subjective ... broker quotes were sufficient to demonstrate liquidity and justify valuation. Today's market participants and firms understand the need for rigor and transparency… more
- Janus Henderson Investors (New York, NY)
- …and hedging docs with street counterparties (ISDA, MSFTA) + Establishing prime broker or other relationships necessary for trading access (eg, rate and/or equity ... of our Investment Advisory Code of Ethics related to personal securities activities and other disclosure and certification requirements, including past political… more