- JPMorgan Chase (New York, NY)
- …Cash Equities Attorney. As a Broker - Dealer & Cash Equities Attorney within the Broker - Dealer & Cash Equities Legal group , you will provide legal ... You will report directly to the Head of the Broker - Dealer & Cash Equities Legal ...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- BlackRock (Princeton, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to Broker Dealer policies, Training Materials, and Certifications + Various on-going ... this role** **Description** The Regulatory Engagement and Development and Broker - Dealer Compliance team oversees BlackRock's registered personnel's compliance… more
- JPMorgan Chase (Columbus, OH)
- …organization with demonstrated financial services experience. + Experience in broker - dealer and investment advisory matters, including knowledge of ... Vice President, Assistant General Counsel within our Wealth Management Legal team, you will provide critical analysis and discussion...firm, and advises the firm on other matters. Our global team is made up of 2,000 lawyers and… more
- MUFG (New York, NY)
- …practices. + Work closely with Global colleagues and US counterparts to ensure that Broker Dealer are aligned with peer broker dealer practices and ... our recruitment team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital… more
- Bank of America (New York, NY)
- …variety of legal issues. Knowledge of the US securities laws, broker - dealer regulations, and banking regulations impacting the business, including issues ... matters related to the Global Banking and Global Markets businesses. Key responsibilities include reviewing legal...5+ years (law firm, regulatory and/or in-house) of direct broker - dealer / capital markets legal … more
- Citigroup (Tampa, FL)
- …coordination of the day-to-day activities of the complaint intake function for Citi's broker - dealer , Citigroup Global Markets ("CGMI"); assistance with the ... with compliance and control; partners with operations, risk, compliance, legal and other entities to ensure accuracy and validity...of verbal and written client complaints for the retail broker dealer /RIA and insurance agency business. This… more
- JPMorgan Chase (Plano, TX)
- JPMorgan Securities LLC (JPMS LLC) is a licensed broker - dealer and investment adviser registered with the SEC and FINRA. It is also a Municipal Securities ... Dealer , Futures Commission Merchant, Commodity Pool Operator, and registered...for clients worldwide. Join JPMS LLC, a leader in global financial services, and play a pivotal role in… more
- US Bank (New York, NY)
- …Team. This attorney will lead a team of legal professionals who provide legal support for US Bank's Global Capital Markets group, which includes the ... private placements, and repo and securities lending. **PRIMARY RESPONSIBILITIES:** + Provide legal support to the Global Capital Markets business + Collaborate… more
- Vanguard (Malvern, PA)
- …its growing and evolving service offerings, Vanguard seeks a highly skilled broker - dealer compliance professional to lead strategic compliance activities related ... brokerage and wealth management businesses. Broad knowledge and experience with broker - dealer regulations is required, while familiarity with investment adviser,… more
- SMBC (New York, NY)
- …credit officers and our clients. The individual will support activities within our swap dealer and broker dealer businesses including derivatives, FX, repo ... SMBC Group is a top-tier global financial group. Headquartered in Tokyo and with...SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry… more