- JPMorgan Chase (New York, NY)
- …with 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
- Citigroup (New York, NY)
- …+ Global platform includes Prime Brokerage and Swap offerings across US and international broker dealer and bank chain entities. + Client portfolios comprise of ... In-Business Risk (IBR), responsible for counterparty and platform risk management of Citi's cash and synthetic Prime Brokerage and Equity Delta One business… more
- MUFG (New York, NY)
- …role. + Extensive practical experience with a comprehensive range of Broker / Dealer products and core systems, including: Equities , Fixed Income (Bonds, ... flows, securities processing, vendor management, and settlement processes within the broker - dealer environment. The ideal candidate will possess a comprehensive… more
- JPMorgan Chase (New York, NY)
- …the day-to-day operations of the business and delivering key outcomes across the broker dealer and client segments. You will help oversee strategic relationships ... Broker Dealers + Maintain relationships with the broker dealer community to increase awareness of...and/or discretionary incentive compensation, paid in the form of cash and/or forfeitable equity , awarded in recognition… 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
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but ... 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)
- …to 10 years of knowledge and experience in AML compliance, preferably within the broker - dealer industry at a large financial institution. + Excellent verbal and ... 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)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge ... 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)
- …**Preferred Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge ... 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)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business...base salary and variable compensation/incentive awards (eg, eligibility for cash and/or equity incentive awards, generally through… more