- JPMorgan Chase (New York, NY)
- …in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and ... alternative trading systems (ATSs), while collaborating closely with the firm's compliance and business control management teams to ensure adherence to control, risk… more
- Robert Half Office Team (Columbus, OH)
- …We are looking for an experienced Operations Associate to support the institutional broker - dealer operations team at a large financial institution in Columbus, ... will oversee client onboarding, asset movement, account maintenance, and ensure compliance with organizational policies. This position offers the opportunity to… more
- Robert Half Finance & Accounting (New York, NY)
- …Financial Services are hiring for a Compensation Accounting Manager role for a global Broker Dealer & Capital Markets firm located in midtown Manhattan New York. ... process owner for variable pay and deferred equity, ensure compliance within the group and by service providers. +...may be developed from time to time. + Ensuring compliance with the company's regulatory requirements under the SEC,… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... with underwriting, processing and closing to remedy documentation, processing and compliance issues prior to delivery and loan purchase. ESSENTIAL JOB FUNCTIONS:… more
- City National Bank (Jersey City, NJ)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program to… more
- MUFG (New York, NY)
- …3-5 years of experience in US Treasury securities settlements, preferably in a broker - dealer environment. + Strong analytical and problem-solving skills with a ... workflows for new business requirements (Central Clearing, Sponsored Repo, ACAP, etc.). ** Compliance and Risk Management:** + Ensure compliance with regulatory… more
- Columbia Bank (Los Angeles, CA)
- …and loyalty through excellent service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker / dealer regulations for ... to date on regulation changes. + Follows all Bank policies and procedures, compliance regulations, and completes all required annual or job-specific training. + May… more
- MUFG (Tempe, AZ)
- …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... to in the execution of the program throughout the full TPRM Lifecycle. + Compliance with applicable rules and guidance impacting the TPRM program including OCC, FBR,… more
- Truist (Nashville, NC)
- …supervisory functions that are routinely associated with those of a retail broker / dealer and RIA supervising principal in the securities industry. The ... + 3 to 5 years of experience in brokerage with an emphasis in compliance , operations or supervisory function + Strong written and oral communication skills and… more
- Wellington (Chicago, IL)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... will join a specialist legal team that collaborates closely with our business and Compliance colleagues to advance key initiatives of the firm. This role offers the… more