- SMBC (New York, NY)
- …Dealer clients + Knowledge of general elements of credit risk as well as legal/ compliance related to Bank and Broker Dealers + Excellent communication and ... solutions to clients within the following industry sectors: Banks and Broker Dealers, Regulated and Alternative Investment Managers and Funds, Insurance Companies… more
- WTW (New York, NY)
- …onsite role. The Associate Risk Manager will oversee day-to-day insurance operations, broker relationships, and premium budgeting, while ensuring compliance with ... insurance programs requiring change in capital commitments 3. Collaborate with broker partner to create master insurance premium allocation representing a fair,… more
- CVS Health (Albany, NY)
- …through the direct digital and in-person education and activation of key broker partners regionally and nationally. + Collaborates with Strategic Partnership team, ... continually seeks out needs, gaps and opportunities to support program and broker activation growth. + Through self and organizational awareness, remains highly… more
- AIG (New York, NY)
- …insurance solutions for our global customers, empowering our clients and broker partners to navigate complex cross-border risks with confidence and consistency. ... Multinational clients and stakeholder relationships, including relevant client & broker relationships in close collaboration with Multinational Client Executives,… more
- Carrington (Albany, NY)
- **Come join our amazing team!** Responsible for developing and maintaining broker /seller relationships to sell wholesale and correspondent mortgage loan products. ... approval for new mortgage brokers and sellers. + Establishes and continues the broker /seller relationship and ensure a steady flow of loan applications and purchases… more
- BlackRock (New York, NY)
- …regulatory expertise and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker -dealer, mutual fund, or ETF business ... The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory... groups and FINRA staff to help ensure regulatory compliance of marketing and sales collateral, digital content, and… more
- MUFG (New York, NY)
- …bridge between our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade flows, ... vendor integrations, enabling rapid troubleshooting, process improvements, and regulatory compliance without writing code. Strong analytical skills, back office… more
- Foresters Financial Services (Westbury, NY)
- …of money + Prospecting and telephone techniques (if you become FINRA licensed) + Compliance training What you need to have: + High School diploma or equivalent + ... Financial Group(R) ("Cetera") is a leading network of independent retail broker -dealers empowering the delivery of objective financial advice to individuals,… more
- Heritage Christian Services (Amherst, NY)
- …at the time of posting Responsibilities + Read, understand and ensure compliance with relevant OPWDD and DOH guidance and ADMs including Community Habilitation, ... Broker , Respite, SEMP, FI, IDGS, etc. + Ensure timely...documentation, invoices, reimbursement/payment requests, etc) for accuracy, completeness, and compliance with applicable requirements. + Complete self-hired staff management… more
- KeyBank (Amherst, NY)
- …Road, Brooklyn Ohio **Job Description** As part of Key's second-line-of-defense Compliance Risk Management function, the Risk Evaluation and Assurance Program (the ... the strategy and execution for testing designed to evaluate Key's ongoing compliance with applicable laws and regulations across Key's Asset Management activities… more