Broker Dealer Jobs in White Plains (NY)
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Search Results - Broker Dealer Jobs in White Plains (NY)
The Bank of New York Mellon-White Plains (NY)
Overview
As Senior Vice President in Markets Compliance, you will serve as a strategic partner advising business and platform leads on US broker-dealer laws and regulations. You will help design, implement, and maintain a robust compliance program...
Northwestern Mutual-White Plains (NY)
10 US Independent Broker-Dealer
• $9.2 billion total dividend payout
• $399 billion total company assets
• Moody's Aa1 Rating
• AM Best Company A++ Rating
• Fitch AAA Rating
• S&P AA+ Rating
• 5.2 million total clients
• $42.3 billion in Annuities...
Forge Global-White Plains (NY)
daily funding and liquidity requirements for the broker-dealer balance sheet
• Finance inventory generated by customer margin loan balances
• Develop funding strategies across market cycles, rate environments, and changing liquidity conditions
• Monitor...
JPMorgan Chase & Co.-White Plains (NY)
Bachelor’s Degree preferred
INVESTMENT AND INSURANCE PRODUCTS ARE:
Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
appcast.io -
Forge Global-White Plains (NY)
banking/broker-dealer experience, including leadership
• Experience with third-party banks, custodians, clearing organizations or settlement processes
• Strong knowledge of trade confirmation/settlement, cash movements, reconciliations, and controls...
New York Life-White Plains (NY)
our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals.
You’ll also be able...
Public-White Plains (NY)
obligations
• Support broker-dealer, investment adviser, and futures regulation matters with SEC, FINRA, CFTC, NFA obligations
• Develop and implement AI governance policies and QA processes for customer-facing and internal tools
• Own privacy program elements...
Glocap Search-White Plains (NY)
management, hedge funds, broker-dealers, family offices, or other alternative investment environments
• Experience with Portfolio Manager P&L, compensation allocations, incentive compensation, or investment professional payout structures strongly preferred...
mindmatch.ai -
Intercontinental Exchange-White Plains (NY)
disciplinary action against broker-dealer members and associated persons
• Collaborate with NYSE Regulation teams and external regulators (SEC, FINRA, other SROs)
• Contribute to regulatory guidance, rule development, and strategic regulatory initiatives...
White Plains (NY)
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
icims.com -
ING Banking-White Plains (NY)
Overview
As VP, Product Compliance Officer, you will provide regulatory guidance for derivatives-related activities within a global financial institution. You will advise Front Office, support the Swap Dealer and Broker Dealer programs...
Ramp-White Plains (NY)
of an SEC-registered adviser
• Experience in fintech
• Deep knowledge of Advisers Act and SEC expectations
• Direct experience supporting SEC examinations
• Experience overseeing custodian/broker-dealer/sub-adviser relationships
• Independent judgment under...
Marsh & McLennan Companies-White Plains (NY)
Overview
In this role you will support MMA Retirement & Wealth by strengthening the compliance program across investment advisers and broker-dealers. You will work with a collaborative team to monitor activities, train colleagues, and handle...
EY (Ernst & Young)-White Plains (NY)
Private Banking, Trust, Broker‑Dealer, RIAs or Financial Services Consulting
• Experience with wealth platform transformation, localization, implementation, or enhancement
• Experience gathering requirements, user stories, processes, and acceptance...
EY (Ernst & Young)-White Plains (NY)
to ensure successful outcomes
Key requirements
• 5+ years in Wealth Management, Private Banking, Trust, Advisory Services, Broker-Dealer Operations, or Financial Services Tech Consulting
• Experience leading wealth platform transformation, localization...
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