• Onboarding Analyst - Broker…

    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
    Marex (08/07/25)
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  • Business Analyst Manager, VP

    MUFG (New York, NY)
    …with the necessary product expertise to support project success. Manage the onboarding and offboarding processes for Business Analyst resources. + **Project ... including trade settlement and trade flow. Proven experience working within a Broker / Dealer environment. + **Product Knowledge:** Expertise with a broad range… more
    MUFG (09/10/25)
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  • Senior Registration Analyst

    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 ... pre-hire Workday requests for potential new hires + Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review and distribute… more
    Neuberger Berman (09/09/25)
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  • FR2004 Regulatory Reporting, AVP

    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
    MUFG (09/07/25)
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  • Associate - Product Control Prime Brokerage

    TD Bank (New York, NY)
    …key control partners and the TDS front office. TD Securities is looking for a broker - dealer accountant to join its Product Control division in New York City. ... books and records and regulatory filings for its US broker -dealers as well as non broker dealers....still providing a high-quality work product The Senior Finance Analyst TDS provides planning, forecasting, reporting and financial analysis… more
    TD Bank (08/27/25)
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  • Manager, Trade Surveillance - Quality Assurance

    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 (08/21/25)
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