- Trandon Associates, Inc (New York, NY)
- Job Description Job Description Full Service Broker Dealer and Investment Banking from seeking a Deputy Chief Compliance Officer to join their team! OVERVIEW: ... and risk mitigation initiatives. Qualifications: 7+ years of of broker -dealer or investment advisory compliance experience, including supervisory responsibilities.… more
- Maguire Automotive Group (Ithaca, NY)
- …and benefit regulations and maintain a proactive and positive relationship with broker , insurance vendors, and other external partners. Keep abreast of existing and ... business or accounting area and/or related experience in accounting or finance highly preferred . Prior experience in auto dealership finances preferred . 5+ years… more
- Gilco Realty LLC (New York, NY)
- …basic real estate procedures Verify and disclose property facts to clients Preferred Skills: Previous experience in real estate, or other related fields Familiarity ... Inexperienced salespeople will be considered. All Training will be one-on-one with Broker . Agents will have their own desk, computer, landline phone, extension etc… more
- Neuberger Berman (New York, NY)
- …the firm **Requirements:** + 1 - 5 years of investment advisory or broker -dealer compliance experience + Bachelor's degree required + Experience with equity and ... fixed-income securities products preferred ; familiarity of futures, commodities, currencies, and derivatives is a plus + Collaborative team player with a strong work… more
- AON (New York, NY)
- …or underwriting. + Experience in Construction Property and Builder's Risk Insurance preferred . + Active Agent/ Broker License. + Proven ability to collaborate ... + Experience in Construction Property and Builder's Risk Insurance preferred . + Active Agent/ Broker License. + Proven ability to collaborate across teams. +… more
- Capital One (New York, NY)
- …market regulation, or At least 5 years Compliance experience within a Broker -Dealer or Swap Dealer environment. ** Preferred Qualifications** + Advanced degree ... Trade Surveillance Manager ( Broker -Dealer & Swap Dealer) **About the Role** We...enhance the firm's surveillance program across both its institutional Broker -Dealer (BD) and Swap Dealer (SD) businesses. This individual… more
- SMBC (New York, NY)
- …be well organized with project management skills. + Regulatory compliance experience at a broker dealer and or swap dealer preferred . BA/BS required. JD ... as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function… more
- MVP Health Care (Schenectady, NY)
- …administration, finance, or a related field. + **Years of Experience (Required & Preferred )** + Proven experience in broker administration or a similar role. ... and building healthier, more vibrant communities. **About the Opportunity** As a Leader, Broker Engagement, you will be responsible for assisting your team build and… more
- Capital One (Albany, NY)
- …GED, or Equivalent Certification + At least 2 years experience as a private jet broker ** Preferred Qualifications:** + 3+ years experience as a private jet ... Private Aviation Specialist, with experience as a private jet broker . The role will require a hands on approach,...broker **At this time, Capital One will not sponsor… more
- Cushman & Wakefield (New York, NY)
- **Job Title** Vice President, Broker Development **Job Description Summary** **Job Description** **Job Description: Broker Coach - Commercial Real Estate ... Development** **Position Overview** We are seeking an experienced Broker Coach to lead the development and enhancement of our commercial real estate broker … more
