- Broadridge Financial Solutions (New York, NY)
- …your career, while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- TD Bank (New York, NY)
- …procedures, and training.** + **Experience responding to client complaints within a bank or broker -dealer.** + **Experience reviewing and providing guidance on ... advertising and marketing materials for a broker -dealer/ bank .** + **FINRA Series 7, 63 and 24 preferred.** **Customer Accountabilities:** + Proactively advises… more
- TD Bank (New York, NY)
- …business writing abilities.** + **Experience responding to client complaints within a bank or broker -dealer.** + **Experience reviewing and providing guidance on ... advertising and marketing materials for a broker -dealer/ bank .** + **Prior testing, audit or business operations experience in areas involving regulatory… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank 's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) ... Head of Product, Commercial Bank Capital Markets **Capital Markets | Head of...is a high growth business within Capital One's commercial bank serving corporate and institutional clients across multiple business… more
- TD Bank (New York, NY)
- … (GSIB), or the equivalent experience at a regulatory body (eg, leading a bank or broker /dealer exam team). + Surveillance experience at Financial Market ... equity research franchise, while growing our strong, diversified investment bank . We are growth-oriented, people-focused, and community-minded. As a team,… more
- MUFG (New York, NY)
- …Requirements** + 5+ years of experience in treasury, funding and liquidity at a broker dealer and/or bank . + Ability to analyze, troubleshoot and strategically ... provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo...the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk… more
- SMBC (New York, NY)
- …of general elements of credit risk as well as legal/compliance related to Bank and Broker Dealers + Excellent communication and presentation skills, both ... solutions to clients within the following industry sectors: Banks and Broker Dealers, Regulated and Alternative Investment Managers and Funds, Insurance Companies… more
- Broadridge Financial Solutions (Edgewood, NY)
- …and prioritization within Modernization initiative. + Partner with global and domestic bank / broker clients to manage pipeline and prioritization of new features ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Santander US (Staten Island, NY)
- …goals as defined on a quarterly basis. + Maintains compliance with all applicable bank , broker /dealer, State and Federal regulations associated with the sale of ... + When appropriate, provides leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans. + Attends and actively… more
- GMHC (New York, NY)
- …following: + 5+ years' experience in New York City property management with a bank of broker and landlord contacts is required. + Extensive knowledge utilizing ... other partners. + Responsible for processing monthly rental payments, security deposits, broker 's fees, rental arrears, and other payments as needed. + Manage and… more