- Citigroup (New York, NY)
- …resolution of supervisory issues escalated + Review and approval of designated bank -channel and broker -dealer investments + Manage surveillance alerts within ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker -Dealer businesses, regulatory requirements and related policy + Knowledge of Investment… more
- Sumitomo Pharma (Albany, NY)
- …Insurance. The Director will manage global cash operational activities & forecasting. Manage bank and broker relationships. This role is responsible for a team ... trials, management liability, umbrella, and specialty lines. + Manage Banker & Broker relationships. + Oversee & manage cash pooling across SMPA group entities… more
- Mizuho Corporate Bank (New York, NY)
- …requires wide breadth of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing projects and ... A ssurance P rogram with various regulatory reports, especially broker dealer reg ulatory report s such as FOCUS,...Overview Mizuho Financial Group, Inc. is the 15th largest bank in the world as measured by total assets… more
- BMO Financial Group (New York, NY)
- …Capital Markets Compliance team is hiring for a CCO of it's two US broker -dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool Execution ... Services, LLC (CES). The broker -dealer CCO would manage the implementation, maintenance and administration of the broker -dealer compliance programs. Broker… more
- GMHC (New York, NY)
- …degree and 5+ years of New York City property management experience with a bank of broker and landlord contacts is required. + Preferred: Bachelor's degree ... in Real Estate, Business Administration, or related field. TECHNICAL SKILLS The ideal candidate should have the following technical competencies to effectively manage case documentation, reporting, and client services: Intermediate to advanced proficiency in… more
- PNC (New York, NY)
- …team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer. This position is primarily based in a PNC location. Preferred ... individuals who are passionate about mitigating risk, problem solving, and protecting the bank and also can contribute in the following ways: * Provide an… more
- Comerica (New York, NY)
- …Payment Processors, Money Service Businesses (MSBs), Financial Institutions and Non- Bank Financial Institutions, including Payroll Providers, Broker Dealers, ... and Fintech organizations. Position Responsibilities: Sales Production: Increase the Bank 's profitability by cultivating new business relationships. Maintain and… more
- Mizuho Corporate Bank (New York, NY)
- …assurance and consulting function, designed to add value and improve Mizuho Bank 's US operations including derivative activities, broker dealer and swap ... to the branches, representative offices and agencies of Mizuho Bank , Ltd. in the Americas, and to Mizuho ...Bank , Ltd. in the Americas, and to Mizuho Bank (USA) and related subsidiaries. IADA's mission is to… more
- SMBC (New York, NY)
- …products. * Advanced understanding of applicable regulatory standards / guidance for a Bank Holding Company / Broker Dealers including Reg YY Liquidity ... requirements * Familiarity with Market Risk a plus * Understanding of audit techniques, internal controls, and workpaper standards. * Excellent communication, presentation and professional skills including the ability to interact effectively at all levels… more
- US Bank (New York, NY)
- At US Bank , we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the ... is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities...capital markets products + Experience with securities laws and broker -dealer regulatory matters + Experience with corporate finance, in… more