- TD Bank (New York, NY)
- …Compliance experience **Preferred Qualifications:** + Experience with a registered US broker dealer, regulator, or global financial organization. + Knowledge of ... operations, finance, regulatory reporting, sales and trading, at a global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. + Excellent interpersonal,… more
- Broadridge Financial Solutions (Edgewood, NY)
- …delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge, ... we are committed to making a difference (https://www.broadridge.com/about/sustainability/) . Our unique culture is guided by the Service-Profit Chainthe idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation… more
- CVS Health (Amherst, NY)
- …in the accounting system. + Follow systems of checks and balances. + Allocate broker commissions for payment. + Answer internal and external customer calls. + Update ... customer-related information in accounting system. + Identify and resolve problems in timely manner. + Follow up on delinquent accounts and own accountability for open items. + Collect and post claim payments against monthly invoices in accounting system. +… more
- M&T Bank (Williamsville, NY)
- …all necessary parties involved in a new loan application, including the customer, broker , all co-workers, and other external partners to ensure a seamless and ... positive experience + Work with various internal departments as well as external organizations to obtain processing related documentation or obtain necessary information needed to complete an application ie: Verification of Employment, IRS Transcripts, title… more
- Robert Half Office Team (Albany, NY)
- …efforts. * Submit health insurance information and scan documents for the broker as required. * Assist with onboarding processes, including preparing new employee ... packets and coordinating paperwork. * Organize and manage HR documentation and filing systems for efficient access and storage. * Interact with employees to collect necessary documents and provide general HR-related assistance. * Perform document scanning and… more
- JPMorgan Chase (New York, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker -dealer and investment advisor, member of FINRA and SIPC. Annuities are made ... available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan Chase &… more
- Broadridge Financial Solutions (Albany, NY)
- …delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge, ... we are committed to making a difference (https://www.broadridge.com/about/sustainability/) . Our unique culture is guided by the Service-Profit Chainthe idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation… more
- Capital One (New York, NY)
- …management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) activities. + ... Thought leader in the product management discipline with experience building and maturing high performing teams who obsess about clients, delivering value, and getting-stuff-done. + Aptitude to champion strategic technology initiatives to leap-frog current… more
- TEKsystems (New York, NY)
- …and collateral risk. Preference for someone with some working knowledge of the Prime Broker Business. Ability to quickly grasp new concepts and work in a fast paced ... high-performing culture with time-sensitive deadlines. Product knowledge of equity, fixed income, and derivatives and have capital markets experience. Attention to detail and a good understanding of security data, margin rules, client data, market data in… more
- Broadridge Financial Solutions (Edgewood, NY)
- …delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge, ... we are committed to making a difference (https://www.broadridge.com/about/sustainability/) . Our unique culture is guided by the Service-Profit Chainthe idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation… more