- Truist (Richmond, VA)
- …supervisory functions that are routinely associated with those of a retail broker /dealer. **ESSENTIAL DUTIES AND RESPONSIBILITIES** Following is a summary of the ... activities may change from time to time. + Supervisory responsibility for Broker Dealer activity including Securities Trading and Annuity Principal Review and… more
- SMBC (New York, NY)
- …in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, ... across CUSO Market Risk and other risk stripes under the Swap-Dealer and Broker -Dealer legal entity CRO umbrella. - Track and manage regulatory, audit, and… more
- US Bank (New York, NY)
- …supporting capital markets products + Experience with securities laws and broker -dealer regulatory matters + Experience with corporate finance, in particular the ... regulatory authorities, especially the SEC and FINRA + Experience with broker -dealer corporate governance + Familiarity and experience with relevant trade groups… more
- SMBC (New York, NY)
- …in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, ... products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority (FINRA) and… more
- SMBC (Jersey City, NJ)
- …in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, ... will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer; SMBC Group's wholesale...various US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how to utilize… more
- SMBC (Charlotte, NC)
- …in Japan. SMFG's shares trade on the Tokyo, Nagoya, and New York (NYSE: SMFG) stock exchanges. In the Americas, SMBC Group has a presence in the US, Canada, Mexico, ... role will support both SMBC Nikko Securities America, Inc. ( Broker -Dealer) and SMBC Capital Markets, Inc. (Swap Dealer). Role...field for a Financial Institution (eg Bank Holding Company, broker dealer, swap dealer) with focus on: documenting data… more
- OTC Markets Group Inc (New York, NY)
- …Spending Account (LPFSA) + Generous Paid Parental Leave Program + Annual bonus and Stock Incentive Program + 401(K) Plan - Retirement + Commuter Transit & Parking ... Link(R) Alternative Trading Systems (ATSs) provide critical market infrastructure that broker -dealers rely on to facilitate trading. Our innovative model offers… more
- Broadridge Financial Solutions (Newark, NJ)
- …of data conversions, streamlining processes, and implementing innovative solutions for the stock transfer business. If you are an experienced professional with a ... technical and operational needs. + Serve as a subject matter expert in stock transfer business processes and data elements, guiding both clients and team members.… more
- Charles Schwab (Westlake, TX)
- …compliance, and regulatory aspects of the financial services industry (eg, broker -dealer, RIA) **Preferred Qualifications:** + Ability to think conceptually and ... the future: + 401(k) with company match and Employee stock purchase plan + Paid time for vacation, volunteering,...in the future: 401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and… more
- Charles Schwab (Lone Tree, CO)
- …and internal reporting as a strategic tool used to optimize bank and broker dealer functions and investing. You will be instrumental in translating complex data ... the future: + 401(k) with company match and Employee stock purchase plan + Paid time for vacation, volunteering,...in the future: 401(k) with company match and Employee stock purchase plan Paid time for vacation, volunteering, and… more