- Broadridge Financial Solutions (Edgewood, NY)
- …and career development. - Give general guidance to inspectors in compliance with company guidelines - Conduct Performance Appraisals and oversee compensation. ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… 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 ... decisions based on information provided. Knowledge of Product, Investor and Compliance Requirements. Versatility and flexibility working within an ever changing fast… more
- Robert Half Office Team (Albany, NY)
- …Responsibilities: * Maintain and update employee files and records to ensure compliance and organization. * Post job advertisements and review incoming resumes to ... efforts. * Submit health insurance information and scan documents for the broker as required. * Assist with onboarding processes, including preparing new employee… more
- Broadridge Financial Solutions (Albany, NY)
- …designs (APIs, SSO, data feeds), ensuring performance, observability, security, and compliance . + Establish and run program governance: plans, milestones, KPIs, ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… 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. + ... equal opportunity employer (EOE, including disability/vet) committed to non-discrimination in compliance with applicable federal, state, and local laws. Capital One… more
- Broadridge Financial Solutions (New York, NY)
- …and delivery with a focus on efficiency and scalability. + Ensure compliance and risk management standards are met, particularly in regulated industries such ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Broadridge Financial Solutions (Edgewood, NY)
- …to leadership regarding performance appraisals of junior technicians. + Ensure compliance with maintenance records in accordance with OSHA and EPA requirements. ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- WM (New York, NY)
- …identify cost-saving opportunities and optimize routes. + Monitor carrier performance, compliance , and on-time delivery metrics. + Collaborate with export sales ... operations (import export in sea containers) + Certifications: Certified Transportation Broker (CTB), Certified Supply Chain Professional (CSCP), Lean Sigma are a… more
- The Hartford (New York, NY)
- …service experience on behalf of the company + Careful adherence to compliance standards and excellent maintenance of account files, underwriting documentation + ... Workflow distribution + Coordinate activities for all supporting tasks (Rating, Agent/ Broker information, Risk Engineering, etc.) on new business submissions and… more
- TD Bank (New York, NY)
- …in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + Undergraduate degree ... multiple deadlines and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities… more