- MUFG (New York, NY)
- …our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more
- Siebert Williams Shank (New York, NY)
- …or the "Firm") is conducting a search for experienced Investment Banking candidates for Vice President to join its Infrastructure and Public team and work hybrid ... platform, and a sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial Industry Regulatory Authority (FINRA)… more
- Mizuho Corporate Bank (New York, NY)
- …position requires wide breadth of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing ... risk RWA and Market Risk RWA, and some r eport s required for broker dealer : NFA Form, Margin Report, 17CFR 23.105k and Quarterly Risk Exposure Report . The… more
- Citigroup (Getzville, NY)
- …analytical skills. + 4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational risk disciplines; processes, ... plus. + Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. + Strong interpersonal skills and ability… more
- MUFG (New York, NY)
- …Risk Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ... Dealer , Volcker and FINRA, SEC and NASD rules. + Experience working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology, and audit execution + Demonstrated proficiency in technology as… more
- JPMorgan Chase (New York, NY)
- …markets + Expertise in financial investment products and services offered by a broker - dealer and investment adviser (eg investments such as fixed income, equity, ... listed options, margin trading, etc) and related SEC, FINRA, MSRB and other SRO rules and regulations + Highly disciplined, ability to make independent decisions and work with limited supervision while exceling in a dynamic, demanding environment as a core… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but ... not required + Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. +… more
- JPMorgan Chase (New York, NY)
- …* Build and maintain relationships with investment bankers and analysts, the broker - dealer community, rating agencies, and legal professionals, among other ... market participants. **Required qualifications, capabilities and skills** + Minumum 5 years of experience in credit analysis. + Bachelor's degree in related field + Critical Technical Skills + Demonstrated ability to evaluate municipal issuer credit risk,… more
- Citigroup (Getzville, NY)
- …functions for ad-hoc analysis, such as filtering, sorting, pivoting, lookups, etc. + Broker / Dealer books and records fluency, such as stock record **Education:** ... + Bachelor's/University degree in Finance, Accounting or related field **Job Family Group:** Finance **Job Family:** Regulatory Reporting **Time Type:** Full time **Primary Location:** Getzville New York United States **Primary Location Full Time Salary… more
- JPMorgan Chase (New York, NY)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... + Strong motivator and self-starter. + Demonstrated ability to innovate and think strategically. + Experience in building and maintaining client relationships. All candidates for roles in the Legal department must be licensed to practice law in the country of… more
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