- SMBC (New York, NY)
- …to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance Officer as either ... of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in US securities laws...foundation in US securities laws and regulations and broker dealer operations, products and services. + Ability to communicate… more
- Mizuho Corporate Bank (New York, NY)
- …wide breadth of expertise in various regulatory reporting , especially for broker dealer regulatory reports , as well as experience in managing projects and staff ... ssurance P rogram with various regulatory reports, especially broker dealer reg ulatory report s such as FOCUS, SSOI,...quality assurance or internal audit + knowledge of broker dealer regulatory reporting especially FOCUS report + knowledge of… more
- PNC (New York, NY)
- …the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management, Swap Dealer & Broker Dealer . This position is primarily based in a ... PNC location. Preferred locations are listed in this requisition. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely, at manager's discretion. Are you interested in an opportunity to… more
- Broadridge Financial Solutions (New York, NY)
- …while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member of the BBD ... Management Team and partners directly with the BBD President, the General Managers of the BBD businesses, the Head of Product, and other business leaders to establish and implement the short-term and long-term strategic direction of BBD. The BBD Head of… more
- Marex (New York, NY)
- …+ Full coordination and collection of client documentation and requirements to facilitate KYC/AML review and approval. + Ensure that appropriate CDD / KYC and AML ... checks are carried out on all new customers in accordance with local regulatory requirements and Group standards and procedures + Communicate with brokers, sales, and other support & control functions on necessary account documentation and deficiencies. + Data… more
- Guardian Life (New York, NY)
- …Managed account implementation strategies include Strategists, UMA, SMA, Rep as PM, Multiple Strategy Proposals, Multiple Account Proposals as well as our Digital ... strategy. The Operations Specialist will intimately understand how our Portfolio Administration Technologies, Envestnet, Orion and our new digital partner, are used to facilitate a strategy, from proposal through to account investing. This individual will be… more
- Fujifilm (Albany, NY)
- …Regional Sales Strategy Manager is responsible for executing Fujifilm's regional dealer sales strategy across an assigned geographic territory, driving sell-in and ... dealers, coordinating closely with a Field Product Technical Expert to maximize dealer success and market penetration. In this territory-focused role, you'll be the… more
- Ford Motor Company (Albany, NY)
- …Ford Credit and Ford and Lincoln dealers. + Manage and further develop dealer relationships with Ford Credit. + Provide direct, in-dealership and virtual training ... (profit, ROE, volume, share, etc.) through the development and execution of dealer level sales plans including the establishment of target dealers for maintaining… more
- Ricoh Americas Corporation (NY)
- …With a strong emphasis on Digital Selling, the TSC influences and impacts Dealer sales managers and sales representatives, fostering mind share and brand loyalty at ... through the implementation of strategies and initiatives established at the Dealer Principal level. **Job Duties and Responsibilities** + Establish and execute… more
- Bridgestone Americas (New York, NY)
- …will provide engineering services and support to the global commercial dealer systems operations through evaluation, analysis, design, supervision, upgrading and ... The teammate is a source of knowledge and expertise on global commercial dealer equipment. The teammate is also proficient in electrical risk prevention systems and… more