- TD Bank (Marlton, NJ)
- …Private Client Wealth, (TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc. (TDWMSI). The Central ... of Business:** TD Wealth **Job Description:** The Central Supervision Analyst is a FINRA and SEC regulatory supervisory principal...Language:** + This position is with a FINRA member, broker and/or dealer and is subject to… more
- TD Bank (Mount Laurel, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to broker dealer policies, training materials, and certifications.** + **Various ... a member of the US Wealth Compliance Department, the Compliance Business Oversight Analyst duties:** + **Ensure ongoing compliance with the Investment Company Act of… more
- Commerce Bank (Kansas City, MO)
- …our Commerce Financial Advisors (CFA) accounts which use LPL Financial as a broker - dealer & Registered Investment Advisor. The team provides exceptional customer ... service focused and technically adept individual for our Systems Support Analyst role in our Commerce Financial Advisor divisions. Commerce Financial Advisors… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... Fargo's Corporate and Investment Bank is hiring for an Analyst position on the Institutional FX Sales Team. The...effectively with FX & Rates Sales & Trading, Operations, Onboarding , etc. to resolve issues and deliver superior customer… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, self-motivated, and highly organized ... Neuberger Berman is looking for a Senior Registration Analyst to join our Legal and Compliance team,...requests for potential new hires + Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, ... similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... strategic guidance and independent oversight of the surveillance output and analyst dispositions of alerts, and suggested enhancements to the program. Through… more
- 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 ... maintaining tools supporting the electronic trading control framework + Assist in the onboarding of new automated trading activities + Assist in risk assessment and… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... within SMBC Nikko Securities America, Inc. is seeking an Analyst level candidate to provide operational support to the...timely escalation of emerging risks/issues + Work with Client Onboarding Team to comply with internal client data management… more
- PNC (Cleveland, OH)
- …this role will also support business analysis and project work within the broker - dealer risk organization. The individual will partner across teams on a ... variety of initiatives, such as onboarding new applications, testing and refining controls, analyzing and...projects, bringing both a risk lens and a business analyst perspective to drive stronger oversight and greater efficiency.… more