- BMO Financial Group (New York, NY)
- …Compliance ("FICC") team in New York with a focus on FINRA and SEC broker- dealer requirements and corresponding oversight. We are looking for someone to work closely ... Functional knowledge of multiple FICC market activities including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more
- Wells Fargo (Rochester, NY)
- …of financial services industry experience + Experience in compliance or broker- dealer governance **Job Expectations:** + US only: Obtaining and/or maintaining ... disqualification are not eligible to be associated with a FINRA-registered broker- dealer . Successful candidates must also meet and comply with ongoing regulatory… more
- TD Bank (New York, NY)
- …and consolidation of the monthly close, review entries and reconciliations for broker- dealer and non-broker- dealer entities and ensure compliance with US GAAP ... and IFRS standards. Key Responsibilities + Oversee monthly consolidation, including elimination entries, equity rolls, and all aspects of US and Non-US financial reporting. + Review and analyze documentation of monthly accounting entries in accordance with US… more
- Siebert Williams Shank (New York, NY)
- …corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful ... and a sound regulatory capital base. We are a SEC-registered securities broker- dealer and member of the Financial Industry Regulatory Authority (FINRA) and the… more
- Citizens (New York, NY)
- …within the Bank's full-service wealth management business, which includes RIA, Broker Dealer and Trust (including Delaware trust) offerings and services. . + Develop ... years of legal experience with substantial experience in the RIA and Broker- Dealer space. + Thorough familiarity with federal securities laws, including the… 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 ... preferred Responsibilities + Transports equipment to/from customers and/or between dealer facilities + Supports the sales department with equipment delivery… more
- Raymond James Financial, Inc. (New York, NY)
- …an understanding of the market standard risk management practices . Broker- dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... (15) years of financial services experience required . Experience in broker- dealer or wealth management firms preferred, especially with exposure to front-office… more
- S&P Global (New York, NY)
- …on them externally + Liaising with and maintaining our relationships with the dealer trading desks, and IPV Teams to obtain the most up-to-date and accurate ... data quality checks + Responsible for data quality, cleaning algorithms and client/ dealer price challenges + Generating metrics and reports on the quality of… more
- The Raymond Corporation (East Syracuse, NY)
- …seeking a passionate and detail-driven Parts Customer Service Specialist to support our dealer network and internal customers with precision and care. In this role, ... you. What You’ll Be Doing: * Respond to complex or sensitive customer and dealer inquiries by Request for Assistance (RFA), phone and email, ensuring timely and… more
- MUFG (New York, NY)
- …changes, GUIs, reports, and dashboards, particularly for P&L calculation in the broker- dealer domain; Coding in SQL, MDX (including writing complex SSAS queries), ... foreign equivalent degree). Experience: 3 years of experience in the broker- dealer domain within the financial services industry supporting multi-terabyte systems… more