- Robert Half Finance & Accounting (New York, NY)
- …is recruiting for a US Head of Finance & Accounting role for a global Broker Dealer /Swap Dealer firm located in midtown Manhattan. Our client requires ... Accounting and Finance experience within Prime Brokerage, Capital Markets or a Swap Dealer firm. The role reports directly into the Group CFO and oversees Financial… more
- MUFG (New York, NY)
- …gathering and documentation submission required by the regulatory bodies for the broker - dealer 's onboarding process + Assist with system configuration, setup, ... a similar business analyst or market operations role, preferably within a broker - dealer or financial institution + Thorough understanding of financial markets,… more
- Deloitte (New York, NY)
- …a financial services organization (preferably a bank, capital markets organization or broker - dealer ), regulatory agency, or consulting firm with a clear record ... within the risk function at a bank, capital markets organization or broker - dealer , including execution and oversight processes, risk assessment, reporting,… more
- TD Bank (New York, NY)
- …abilities.** + **Experience responding to client complaints within a bank or broker - dealer .** + **Experience reviewing and providing guidance on advertising and ... to build a more resilient and scalable compliance risk management function. As part of our team, you'll play...marketing materials for a broker - dealer /bank.** + **Prior testing, audit or business… more
- Citigroup (New York, NY)
- …Word) + Excellent communication skills, ability to communicate to all levels of management + Familiarity with bank/ broker dealer trading platforms + ... business in key initiatives including: + Assisting the Product Management Head and Desk Heads in new product rollouts...Knowledge & Experience: + 5 years' experience at a bank/ broker dealer + Working knowledge of brokerage… more
- Citigroup (New York, NY)
- …supervisory issues escalated + Review and approval of designated bank-channel and broker - dealer investments + Manage surveillance alerts within stated policy ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker - Dealer businesses, regulatory requirements and related policy + Knowledge of Investment… more
- Bank of America (New York, NY)
- …Qualifications** + Recent experience in a similar role in a top tier bank / broker - dealer or product development role in a large broker / dealer ... workflows. + 5 years of experience in a relationship management or similar role eg, client or vendor-facing. +...outside of Operations eg, Front Office, Technology, Compliance, Risk Management . + Able to work both independently and across… more
- Citigroup (Getzville, NY)
- …analytical skills. + 4+ years of related experience in the banking / broker - dealer industry. + Material experience with operational risk disciplines; processes, ... be a plus. + Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker - dealer regulatory filing is a plus. + Strong interpersonal skills and… more
- Guardian Life (New York, NY)
- …agency and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, ... department projects and ongoing recruitment strategy **You have** + 3-5 years of broker - dealer operations or service experience + Ability to create strong… more
- TD Bank (New York, NY)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... TD Wealth **Job Description:** The Head of Wealth Portfolio Management & Capital Markets is a key leader within...the US Investment product suite and its ongoing product management and development. This role leads the development, implementation,… more