- 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
- 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
- TD Bank (New York, NY)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Excellent written, verbal and ... new industry standards. The US Compliance - Regulatory Issue Management Senior Analyst has the following key responsibilities and desired experience: + Supports the… 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 ... pre-hire Workday requests for potential new hires + Manage new hire onboarding processes for new employees: monitor fingerprint submissions, review and distribute… 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)
- …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 (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