- JPMorgan Chase (New York, NY)
- …you, we would like to hear from you. **Job Responsibilities** + Advise the broker - dealer cash equities business managers and registered representatives ... and support for the various product desks within the broker - dealer cash equity ...capabilities and skills** + Strong experience and familiarity with broker - dealer cash equities … more
- Coinbase (Albany, NY)
- …you'll be doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our equities trading product. As a Senior Associate, ... seeking a highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization… more
- Coinbase (Albany, NY)
- …*What you'll be doing (ie. job duties):* We are building out our Broker Dealer Operations function to support our equities trading product. As a Manager, you ... regulated environment? We are looking for an exceptional Manager in our Broker Dealer Operations function, establishing the critical controls and scalable… more
- Citigroup (New York, NY)
- **Job Description** **The Senior Lead Counsel I - Equities Cash and Derivatives SVP will provide transactional and advisory legal services to risk managers and ... business representatives within Citi's Equities Cash and Derivatives businesses, which focuses...products, and legal advice in areas of securities laws, broker - dealer regulation, swaps regulations, margin requirements, security… more
- JPMorgan Chase (New York, NY)
- …team, which is the client-facing organization for all automated trading capabilities in Cash Equities . This team builds, manages and delivers the leading ... in developing low-latency client solutions tailored for our systematic trading and broker - dealer clients. This involves engaging with clients, exchanges, and… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... or more years of experience with a registered US broker dealer or regulator. + JD desirable...Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise,… more
- MUFG (New York, NY)
- …office, financial technology, or equivalent financial operations roles. * Deep knowledge of broker dealer products ( equities , fixed income, ABS, MBS, ... serve as the technical bridge between operations and the technology that powers our broker dealer settlement engine. This role requires deep expertise in trade… more
- TD Bank (New York, NY)
- …JD desirable but not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or ... we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing our strong,… more
- TD Bank (New York, NY)
- …. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry best ... we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing our strong,… 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, ... we acquired Cowen Inc., offering our clients access to a premier US equities business and highly-diverse equity research franchise, while growing our strong,… more
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