- Coinbase (Albany, NY)
- …highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of ... doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our...function to support our equities trading product. As a Senior Associate , you will play a critical… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... Compliance, IT Risk and Training committees. The Compliance Advisory Associate role assists in managing coverage areas or processes...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- Coinbase (Albany, NY)
- …job duties):* * Lead and manage regulatory compliance and risk management for all broker - dealer activities, ensuring adherence to SEC and FINRA rules. * Provide ... currency and blockchain technology. * Experienced securities attorney with deep broker - dealer expertise to provide legal guidance on compliance, regulatory… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Knowledge, Skills, and/or Abilities + Advanced… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... to meet their financial needs. As a Private Wealth Associate in Chase Wealth Management, you will offer comprehensive...wealth management, and the ability to collaborate effectively with senior advisors to deepen with and serve clients. **Job… more