• Director - Regulatory & Supervisory Management,…

    TD Bank (New York, NY)
    …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... TDS is responsible for the planning, direction, and coordination of trading operations within The Bank. This position is also responsible for overseeing the… more
    TD Bank (10/02/25)
    - Related Jobs

  • Counsel

    Wellington (Chicago, IL)
    …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... of complex client mandates. + Collaborate with Compliance, Client teams, and Operations to ensure legal risk is appropriately managed. + Monitor legal and… more
    Wellington (10/01/25)
    - Related Jobs

  • Sales Development Associate

    Raymond James Financial, Inc. (Bethesda, MD)
    …Concepts, practices and procedures of business development in a financial services/ broker - dealer environment. * Investment concepts, practices and procedures ... industry. * The principles of banking and finance and securities industry operations . * Financial markets, products, financial advisory function and the investment… more
    Raymond James Financial, Inc. (09/18/25)
    - Related Jobs