- ManpowerGroup (New York, NY)
- …services firm, is seeking an Internal Auditor to join their team. As a Swap Dealer Auditor, you will be part of the audit team supporting the swap dealing ... and a strong background in auditing and regulatory compliance. **Job Title:** Swap Dealer Auditor **Location:** New York, New York (Remote) **Pay Range:** $80/HR W2… more
- MUFG (New York, NY)
- …responsible for supporting the firm's initiative to become a US Government Primary Dealer . The candidate will work with various internal and external stakeholders in ... and documentation submission required by the regulatory bodies for the broker- dealer 's onboarding process + Assist with system configuration, setup, and testing… more
- The Raymond Corporation (East Syracuse, NY)
- …In this role, you will serve as a trusted partner to our Raymond Dealer Network, including Canada and select international distributors, as well as a small group ... customers. Your primary responsibility will be to manage and resolve daily dealer inquiries pertaining to all aspects of Forklift Modifications with accuracy,… more
- MUFG (New York, NY)
- …Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and milestones, ... in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group self-assessments,...resolution + Identify Key Data Elements across the broker dealer entity and key regulatory reports and ensure data… more
- TD Bank (New York, NY)
- …required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. + ... Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global financial… more
- Insight Global (New York, NY)
- …Officer will report to a supervisor with the Wealth Management Broker/ Dealer Compliance division. * Review marketing material for consistency with applicable ... Minimum 5 years of relevant work experience with a financial institution such as a broker/ dealer . Minimum 3 years compliance experience with a broker/ dealer . more
- Hold Brothers (New York, NY)
- …the Job: Hold Brothers Capital, LLC, is a FINRA Registered, SEC, Self-Clearing Broker Dealer . We strive to be a complete destination for traders looking to maximize ... are required to be registered, and licensed with our broker- dealer in order to trade at the firm. Either,...not required to be registered, and licensed with our broker- dealer . They must maintain a balance of $25,000 USD… more
- MUFG (New York, NY)
- …seek a skilled QA Engineer Analyst to join our team at a leading broker dealer in the capital markets. This role focuses on ensuring the quality and reliability of ... platforms (AWS, Azure, GCP). Preferred Qualifications: - Experience in broker dealer or financial services environment. - Certifications in QA methodologies (eg,… more
- TD Bank (New York, NY)
- …This function enables efficient and effective program delivery of the dealer 's major, cross functional initiatives. TDS Change Delivery reflects a significant ... evolution of our approach to managing and delivering change in the dealer 's largest cross functional initiatives. **Depth & Scope:** + Supports the end-to-end… more
- Bosch (New York, NY)
- …the market + Work with marketing and local team to execute events at the dealer , on-site, and at local trade unions to drive Bosch brand insistence in your market. ... crib and on-site + Execute local events at the jobsite and with local dealer partners + Engage with CRM daily to drive effective business development through data… more