- Ankura (New York, NY)
- …cause analysis, pre-issuance and post-issuance reviews of issuer and broker- dealer audit engagements, leading and supporting investigations, and independent ... monitorships for regulatory undertakings. Role Overview: Ankura Consulting has a full-time position for a Senior Director in its Audit Advisory Practice. Audit Managing Directors provide subject matter expertise on a variety of topics including the application… 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
- Team Ronco Incorporated (Buffalo, NY)
- …control, pricing, vendor selection, and distribution operations. + Manage vendor dealer agreements. + Monitor the movement of materials, in-process goods, and ... finished products to ensure timely fulfillment of production and customer requirements. + Collect and analyze data to forecast demand and predict inventory needs. + Maintain regular communication with vendors and manage purchase orders or requisitions to… more
- TD Bank (New York, NY)
- …and executes the trade + Ensures all trades are confirmed with the broker/ dealer + Inputs trades (post execution), and Verifies transactions meet company policies ... and followed approved guidelines + Researches and resolves trade discrepancies + Confirms trade blotters against trades booked in systems + Coordinates with back office on all failed trade status and communicates to front office + Coordinates with back office… more
- Heritage Financial Credit Union (Middletown, NY)
- …service excellence across all member contact channels including, In-Branch, Digital, Dealer , Commercial and Mortgage Services. The development and implementation of ... strategic plans to grow our Credit Union and continually enhancing an exceptional member service experience while seeking to differentiate us in the eyes of all stakeholders will be a key to success in the role. The VP of Retail Banking will also work across… more
- Monroe Tractor (Adams Center, NY)
- …Tractor is a well-known and respected construction equipment and agricultural equipment dealer with over 70 years of experience servicing the northeastern US. With ... 18 locations throughout New York, Pennsylvania, Vermont, Connecticut, and Massachusetts, we pride ourselves on providing best-in-class sales and support to over 15,000 hardworking customers. Since our founding in 1951, the industries we serve have been… more
- Raymond James Financial, Inc. (New York, NY)
- …knowledge of:** + Concepts, practices, and procedures of the securities industry, broker/ dealer compliance and/or branch exams + Rules and regulations of the SEC, ... FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear, concise,… more
- US Bank (New York, NY)
- …competencies + Considerable knowledge of applicable laws, regulations (Swap Dealer Reporting, Volker Rule, Dodd-Frank), financial services, and regulatory trends ... that impact bank operations + Strong process facilitation, project management, and analytical skills + Ability to manage multiple tasks and deadlines simultaneously + Must possess business acumen and credibility to help business line(s) proactively identify… more
- Atria Wealth Solutions (Corning, NY)
- …CUSO Financial Services, LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker- dealer and RIA with a stable, 25-year track record of serving the investment ... needs of credit unions and their members. We're ranked as one of the top broker-dealers in the industry and we work with some of the top financial institutions in the country. Powered by JazzHR more
- Wolters Kluwer (New York, NY)
- …infrastructure-as-a-service (IaaS) and end-user-license agreements (EULAs)) + re-seller, distribution, dealer , referral and agency agreements + vendor, sourcing and ... consulting agreements + partnership, joint venture and strategic alliance agreements (such as application programming interface (API) agreements with third parties) + other commercial agreements (such as confidentiality agreements, Data Privacy Agreements… more