- JPMorgan Chase (New York, NY)
- …advising on broker -dealer regulatory issues, cash equity trading issues and securities transactions + All candidates for roles in the Legal department must ... Group within the Corporate & Investment Bank as a Broker -Dealer & Cash Equities Attorney. As a Broker...legal colleagues as well as regulators, including the US Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority… more
- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- JPMorgan Chase (Columbus, OH)
- …a Wealth Management Financial Products and Regulatory Attorney - Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide ... organization with demonstrated financial services experience. + Experience in broker -dealer and investment advisory matters, including knowledge of federal and… more
- First Horizon Bank (Memphis, TN)
- …with trading and operations departments promoting smooth execution and delivery of securities . + Strong ability to multi-task and manage issues arising on a ... + Maintain and encourage means in which to simplify and streamline broker needs. Initiate methods of organization to encourage up-to-date customer/ broker … more
- City National Bank (Los Angeles, CA)
- …SERVICES OFFICER* WHAT IS THE OPPORTUNITY? Oversee the City National Securities Investment Relationship Officers and Assistant Investment Officers supporting ... the Financial Advisors and licensed representatives of City National Securities . Provide training for Financial Advisors, Investment Relationship Officers, … more