- Marex (New York, NY)
- …more information visit www.marex.com (http://www.marex.com/) (http://www.marex.com/) Purpose of Role: The Onboarding Analyst will facilitate the onboarding ... DMA, plus award-winning data, insights and analytics [do not delete]. The US Onboarding team is responsible for facilitating the account opening process across a… 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
- Adecco US, Inc. (Pennington, NJ)
- …in Finance, Economics, or a related field. + Previous experience working for a broker - dealer or directly supporting a financial advisory team. _This position is ... We are seeking a driven and meticulous Operations Analyst to join the Performance Operations organization, supporting...role, you will play a key part in client onboarding , data validation, and providing critical support to the… more
- MUFG (New York, NY)
- …Prior internship or experience in financial services (Global Bank / Sales & Trading / Broker - Dealer ) is a plus (but not mandatory) The typical base pay range for ... **Summary:** Join a leading financial services firm as an entry-level **Business Support Analyst ** in our front office **Sales & Trading and Treasury team** . This… 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)
- …traders and executes the trade + Ensures all trades are confirmed with the broker / dealer + Inputs trades (post execution), and Verifies transactions meet company ... (including investor relations professionals and C-suite as well as Buy-Side Broker Liaisons). + Work independently while managing multiple live events/projects. +… 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