- MUFG (Irving, TX)
- …+ 5-7 years of Compliance and Control Room experience required + FINRA Broker Dealer experience + Strong knowledge of financial markets, investment banking, ... capital markets and products + Outstanding analytical and organizational skills + Experience delivering on projects + Experience working in a large international organization preferred + Excellent communications skills (verbal and written) + Experience with… more
- 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 management, and regulatory obligations. You will work in close collaboration with various… more
- JPMorgan Chase (Chicago, IL)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… 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 ... high attention to detail. + Proficiency BONY BDC, Broadridge Impact, Broadridge BPS and MS Excel. + Excellent communication and interpersonal skills. + Ability to work independently and as part of a team in a fast-paced environment. + Meticulous in ensuring… more
- JPMorgan Chase (Chicago, IL)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... + Strong motivator and self-starter. + Demonstrated ability to innovate and think strategically. + Experience in building and maintaining client relationships. All candidates for roles in the Legal department must be licensed to practice law in the country of… more
- MUFG (Tempe, AZ)
- …financial services industry; previous working experience within Capital Markets, Asset Management, Broker Dealer , Finance, Treasury and or risk management + ... Strong knowledge of Operational Risk Management Programs and frameworks including (but not limited to): RCSA, Loss data, Products and Services, Scenario Analysis, KRM/KRI and Issue Management). + Significant experience managing complex and dynamic Third-Party… more
- Kestra Financial (Novi, MI)
- …potentially complex processes and/or concepts to clients + Successfully partner with Broker Dealer for new account establishment, account maintenance, and ... compliance. + Maintain Redtail CRM database; Manage Client and Prospective Client Work Flow and coordinate follow-up with Advisors + Maintain a compliant filing and scanning system with Laser Fiche + Answer incoming calls and direct/take messages appropriately… more
- SMBC (New York, NY)
- …SMBC offers a competitive portfolio of benefits to its employees. **Role Overview** The Vice President (VP) in the Americas Market Risk Management Governance and ... Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer...Markets Swap Dealer , and Nikko Securities America's Broker - Dealer entity. This role provides independent risk… more
- TD Bank (New York, NY)
- …New York Office TD Securities is seeking a highly skilled and technology proficient Vice President to join its US Wholesale Controllers group within US Finance ... and consolidation of the monthly close, review entries and reconciliations for broker - dealer and non- broker - dealer entities and ensure compliance with… more
- First Horizon Bank (Memphis, TN)
- **Description** **Description** The Vice President - Senior Accounting Manager will work closely with the Accounting Department staff and other FHN Financial ... within 12 months) + Minimum 5 - 10 years of experience in broker - dealer , public accounting or other professional accounting role + Strong knowledge of Generally… more