- LandPro Equipment LLC (Clarence Center, NY)
- …procedures. Responsibilities: + Transports equipment to/from customers and/or between dealer facilities + Supports the sales department with equipment delivery ... as needed + Maintains records of pickup and delivery and obtains necessary signatures and receipts + Maintains all required certifications in line with DOT, OSHA, and company policy + Accounts for all time and all distance traveled in performing assigned… more
- New York State Civil Service (Albany, NY)
- …reports for review by the unit Manager.Assist in the evaluation of broker- dealer and other service provider performance.Assist with the development and maintenance ... of the Bloomberg trading system, including the set-up and maintenance of reports, interfaces, and troubleshooting.Assist in the preparation and maintenance of schedules with a moderate level of difficulty.Assist in the preparation of management reports.Assist… more
- City National Bank (New York, NY)
- …firm contact information including the processing of all changes partner's broker dealer and/or RIA changes. * Collect information from third parties and transcribe ... to CNB systems and enter manually into system records, collect signatures and then open accounts * Data entry from pdfs into spreadsheets and Salesforce *The Qualifications* * Excellent computer literacy with a proven proficiency in Microsoft Excel, Word and… more
- Bloomberg (New York, NY)
- …Manager, you will be responsible for increasing our footprint in the IRS E-Trading Dealer -to-Client market, with a focus on the US market. In doing so you will ... increase market-share and focus on workflows for key clients in the Hedge Fund and Asset Management community. Working hand-in-hand with Bloomberg Engineers you will deliver market leading workflows and execution tools. Working with regional sales teams you… more
- HUB International (New York, NY)
- …Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker- Dealer : The Chief Compliance Officer, will be a highly visible, senior ... leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW business while mitigating risk and enhancing the SEC compliance… more
- BMO Financial Group (New York, NY)
- Member of the broker/ dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed assist ... in CMC regulatory reporting and other financial/statutory reporting matters. Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO Chicago Branch treasury activity. + Preparation of weekly (or… more
- TD Bank (New York, NY)
- …highly focused boutique-type operation, while being part of a major global investment dealer . Confidence in our US operations stems from the recognition of our ... in-depth industry knowledge and from our outstanding credit, structuring, research and distribution capabilities. At TD Securities, you will be exposed to a wide variety of clients, industries, financing structures and products. You will also work in a team… more
- TD Bank (New York, NY)
- …product lines **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or ... may not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to _investigate_ the good… more
- TD Bank (White Plains, NY)
- …Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may ... not) be a registered position under FINRA. + Must be eligible for employment under standards established by FINRA. Subject to the investigation and verification requirements of FINRA Rule 3110(e), including: the Firm's obligation to _investigate_ the good… more
- Monroe Tractor (Binghamton, 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 ... 18 locations throughout New York, Pennsylvania, Vermont, Connecticut, and Massachusetts, we pride ourselves on providing best-in-class sales and support to over 15,000 hardworking customers. Since our founding in 1951, the industries we serve have been… more