- JPMorgan Chase (New York, NY)
- …and other digital assets. You will be experienced in Bank and/or Broker/ Dealer Compliance and be responsible for developing and overseeing risk-based processes and ... controls, addressing financial crimes-related queries, managing Operational Risk and ensuring compliance with relevant laws and regulations. Job Responsibilities + Assist in the ongoing development, administration, and implementation of the Firm's CCOR program… more
- TD Bank (New York, NY)
- …degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC, FINRA and ... other relevant regulatory requirements. + Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them. + Excellent interpersonal,… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more
- Santander US (Queens, NY)
- …defined on a quarterly basis. * Maintain compliance with all applicable bank, broker/ dealer , State and Federal regulations associated with the sale of investment and ... insurance products including Santander Policy Statement governing the sale of uninsured products. * When appropriate, provide leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans. * Attend and actively… more
- Santander US (New York, NY)
- …Based Lending, Cash Flow Lending, Leveraged Finance, Equipment Leasing, Automotive Dealer Finance, Food and Beverage, Healthcare, Education, and Government Banking. ... JOB REQUIREMENTS & RESPONSIBILITIES Graduation from the Program requires passing all requisite examinations, individual and group assessments during the classroom training, and all continuous education. Credit Analysts will have the following responsibilities:… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more
- Citigroup (New York, NY)
- …+ Knowledge of and experience covering the financial intermediary (bank, broker- dealer , clearinghouse, etc.) client base, preferably within an Investor Services ... business + Proven track record of managing complex issue resolution and driving significant sales and revenue growth + Skills: + Exceptional ability to manage by influence and demonstrate strong leadership in a matrix environment + Highly driven,… more
- Lithia & Driveway (Middletown, NY)
- …for our customers. + Submit deals to bank electronically using appropriate dealer system. + Enter transactions accurately into ADP and bank approval systems. ... + Process all transaction paperwork and ensure it is accurate and meets the needs of the Office, state specific DMV and lender requirements. + Track deal receivables and follow-up on outstanding items to ensure collection of all money and bank stipulations for… more
- Paul Brown Motors Group (Olean, NY)
- Multi Franchised Family Owned Dealer Group in Olean Area is looking for you. Welcome to Paul Brown! ARE YOU LOOKING FOR 40 HOURS OR LESS WORK WEEK(S)? If so, STOP ... NOW this is NOT for you. ARE YOU WILLING TO WORK HARD INCLUDING 6 DAYS A WEEK? ARE YOU WILLING TO WORK EVERY SATURDAY? ARE YOU WILLING TO SACRIFICE PERSONAL COMITTMENTS? ARE YOU READY TO MAKE A GREAT LIVING BY WORKING HARD? - APPLY NOW IF YOU ARE READY AND CAN… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more