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Capital One
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New York, New York
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for employment authorization for this position.
The minimum and maximum full-time annual ... website (https://www.capitalonecareers.com/benefits) . Eligibility varies based on full or part-time
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Capital One Services, LLC
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New York, New York
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.The minimum and maximum full-time annual salaries for this role are listed ... Broker Dealer Chief Compliance Officer - Sr. DirectorThe Sr. Director will be the
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Tradeweb
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New York, New York
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, full-time schedule. The amount of pay offered will be determined by a number of factors, including but ... ’ workflow needs
Monitor real-time activities on the platform and address issues in a timely manner
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Scotiabank
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New York City, New York
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the Americas and the world.
Global Banking & Markets provides a full range of investment ... , energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products
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CIBC
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New York, New York
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What You’ll Be Doing
The US Broker-Dealer Chief Compliance Officer (USBD CCO) and Head of US ... program, including the SEC/FINRA registered broker-dealer. The USBD CCO is primarily responsible for: 1
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OTC Markets Group Inc
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New York, New York
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supporting both business development and client service.
Time will be split with responsibility ... (stock exchanges, laws, rules for trading etc). Full training is provided but success will depend on the
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Amazon
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New York, New York
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sit within our Seller Experience Team to be responsible for testing and implementing new dealer facing ... Experience, and Tech teams to identify and group features for testing, determine dealer locations, and
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CIBC
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New York, New York
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Manager for Capital Markets/Broker-Dealer/Swap Dealer
Reporting to the Head of US Compliance ... design and effectiveness of business controls established to ensure adherence with US broker-dealer and
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Motion Recruitment Partners
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New York, New York
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on a full-time basis in the country for which they are applying, and no sponsorship is currently ... third-party risk lifecycle management concepts with specific emphasis on inter-dealer brokers, financial
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Amazon
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New York, New York
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based on commonly found defects and 3) execute to dealer level goals, which will evolve over time, and ... think beyond a one-time solve, to ensure standardization across the account management team.
• Keen
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Tradeweb
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New York, New York
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, full-time schedule. The amount of pay offered will be determined by a number of factors, including but ... department. The ideal candidate will have extensive knowledge of broker dealer operations, securities
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MUFG
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New York, New York
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Identify and understand risks and controls in changing environments with the ability to execute the full ... including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA
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Scotiabank
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New York City, New York
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across the Americas and the world.
Global Banking & Markets provides a full range of investment ... , energy, foreign exchange and precious & metals. We also cross-sell the full range of wholesale products
...
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Scotiabank
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New York City, New York
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full range of investment banking, credit and risk management products and services relevant to the ... products, derivatives, energy, foreign exchange and precious & metals. We also cross-sell the full range of
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Guardian Life
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New York, New York
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full-time eligible employees. Interns are not eligible for most Company benefits._**
**Equal ... overall compliance framework for PAS as a dually registered broker-dealer and investment adviser
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Motion Recruitment Partners
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New York, New York
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authorized to work on a full-time basis in the country for which they are applying, and no sponsorship is ... /dealer.
Experience in designing and implementing business processes and associated business
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TD Bank
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New York, New York
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:**
Preferred Qualifications:
TD Securities is looking for a broker-dealer accountant to join its legal ... . Working knowledge of broker-dealer regulatory environment is a must.
Understanding of Fixed Income
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EY
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New York, New York
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Full-time employment
Your key responsibilities
Consistently deliver quality client ... experience with capital markets and/or broker dealer regulatory compliance or a graduate degree and
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Wells Fargo
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NEW YORK, New York
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Benefits
Wells Fargo provides all eligible full- and part-time employees with a comprehensive set ... dealer activities, options, OTC derivatives, structured products and convertible bonds
Experience
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Envista Holdings Corporation
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New York City, New York
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Products and Extra-oral/3D Products including both full-time and contract resources.
**ESSENTIAL ... limited to technical support, sales and dealer partners.
Manage instructor performance and the
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TD Bank
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New York, New York
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other products, primarily fixed income
Advising on swap dealer, security-based swap dealer and broker dealer requirements
Research and provide advice relating to new regulations and regulatory
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JPMorgan Chase
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New York, New York
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continued evolution of the IDL Dashboard
Partner with the broker/dealer and other Treasury teams to ... and concepts, predictive modeling, time series forecasting
Bachelor's and/or Master's degree
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EY
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New York, New York
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career at a market leader.
Full-time employment
Your key responsibilities
Leading ... years of work experience with capital markets and/or broker dealer regulatory compliance or a graduate
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EY
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New York, New York
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career at a market leader.
Full-time employment.
Your key responsibilities
Lead ... approximately 8 or more years of work experience with capital markets and/or broker dealer regulatory compliance
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JPMorgan Chase
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New York, New York
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continued evolution of the IDL Dashboard
Partner with the broker/dealer and other Treasury teams to ... and concepts, predictive modeling, time series forecasting
Bachelor's and/or Master's degree
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Capital One Services, LLC
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New York, New York
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full-time annual salaries for this role are listed below, by location. Please note that this salary ... >Capital One Careers website. Eligibility varies based on full or part-time status, exempt or non
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Citigroup
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New York, New York
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with compliance with regulatory guidelines require the successful candidate to work full time in the ... Type:**
Full time
**Primary
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Morgan Stanley
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New York, New York
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advance of trading.
Job Responsibilities
• Negotiate full suite of trading agreements including ... years experience negotiating trading agreements at broker/dealer, buy-side firm and/or law firm
• J.D
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EY
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New York, New York
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Skills and attributes for success
You will spend most of your time assisting on all phases of ... ability to travel - you will likely spend a significant amount of time on-site with our clients. Travel
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Guardian Life
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New York, New York
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individual life and annuity insurance products. Park Avenue Securities is Guardian’s broker-dealer and ...
Time Off and Remote Work
Flexible work arrangements (part in-person/part remote
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