- Capital One (New York, NY)
- …management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) activities. ... + Thought leader in the product management discipline with experience building and maturing high performing teams who obsess about clients, delivering value, and getting-stuff-done. + Aptitude to champion strategic technology initiatives to leap-frog current… more
- Guardian Life (Albany, NY)
- …of state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, with experience at an ... insurance-affiliated broker/ dealer as a plus. + Prior examination, auditing or testing experience. + Series 7; 24 licenses required or obtained within 120 days. + A… more
- Citigroup (Getzville, NY)
- …in data-driven regulatory reporting, analysis, and quality assurance for swap dealer reporting. We ensure accurate and compliant reporting by implementing robust ... flows. + Managing data quality controls and exception management for swap dealer reports, leveraging data profiling and analysis techniques. + Contributing to… more
- MUFG (New York, NY)
- …ability to place/trade day-to-day ABCP for one of the two conduits through our Dealer Panel which comprises of major Wall Street ABCP dealers including MUSA. The ... office ABCP systems and processes/procedures. + Ideally prior experience with a CP dealer or ABCP group. + Knowledge of commercial paper clearing through DTC,… more
- Broadridge Financial Solutions (New York, NY)
- …financial services executives. 8-10 years of experience. + 10+ years of either Broker- Dealer Operations Experience or Broker- Dealer Sales Experience + Ability to ... build, foster and maintain key strategic relationships within prospect accounts, including senior client relationships at CxO levels + Ability to work within a collaborative environment to achieve results + Strong investment industry knowledge and existing… 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 job site and with local dealer partners. + Engage with CRM daily to drive effective business development through data… more
- Citigroup (Getzville, NY)
- …skills. + 4+ years of related experience in the banking / broker- dealer industry. + Material experience with operational risk disciplines; processes, risks and ... a plus. + Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker- dealer regulatory filing is a plus. + Strong interpersonal skills and ability to… more
- Resideo (Melville, NY)
- …**Director, Pro Marketing - Security & Safety** to lead our Pro Security dealer and Electrical and marketing initiatives. In this role, you will develop and ... within the marketing organization. **Analytics & Optimization** + Analyze Security dealer and Electrical Pro campaign performance and optimize strategies to improve… more
- City National Bank (New York, NY)
- …the transfer by acting as the intermediary between the receiving and delivering broker dealer , and see that the account is properly closed and archived from our ... voluntary offers. *The Qualifications* * 3 to 5 years of experience in a broker dealer or investment industry * Minimum 3 years of experience in a financial related… more
- Citigroup (New York, NY)
- …issues escalated + Review and approval of designated bank-channel and broker- dealer investments + Manage surveillance alerts within stated policy guidelines + ... 24 and 31. Series 9/10 also preferred + Knowledge of Bank and Broker- Dealer businesses, regulatory requirements and related policy + Knowledge of Investment products… more