- SMBC (New York, NY)
- …and Broker Dealer client coverage, including all aspects of client development , new business generation, and cross-selling of SMBC Group's various products and ... origination and execution of transactions with Banks and Broker Dealer clients + Work closely across the Private Debt...products and services relevant to the Banks and Broker Dealer clients + Knowledge of general elements of credit… more
- Arrow Financial Corporation (Glens Falls, NY)
- …held with funding issues. Provides exceptional customer service and support to dealer network and indirect lending staff while meeting all applicable compliance ... ESSENTIAL JOB FUNCTIONS > Review indirect loan documents received from dealer network for accuracy and completeness; ensure documents have proper signatures,… more
- Broadridge Financial Solutions (New York, NY)
- …client and Broadridge. + Follow a ""Playbook"" approach that includes the development of business cases and pricing, utilizing complex internal models. Provide ... and maximize revenue. + Maintain a constant awareness of current and planned development of Broadridge products and continuously engaged with clients to keep them… more
- Bosch (New York, NY)
- …Tool Corporation._** Robert Bosch Tool Corporation offers the competitive compensation, career- development resources, and benefits you would expect of a world ... marketing and local team to execute events at the dealer , on-site, and at local trade unions to drive...+ Engage with CRM daily to drive effective business development through data management. + Budget management + Continuous… more
- Raymond James Financial, Inc. (New York, NY)
- …emerging risks and advises on risk mitigation strategies. . Leads the development and implementation of risk assessment and quantification models needed to risk ... II and current rules under review . Sarbanes Oxley regulations . Software development processes . ISDA/CSA, and MBA documentation with the ability to provide advice… 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...achieve your professional and personal goals. Through skill-building, leadership development and philanthropic opportunities, we provide opportunities to build… more
- C-4 Analytics (New York, NY)
- …acquisition. C-4 Analytics is committed to developing innovative solutions for every dealer in every market, and to providing the highest levels of accountability ... our employees with a range of benefits, including career development programs, paid time off, and additional perks. All...+ Drive outreach based on a curated list of dealer prospect targets, developed with Sales Operations to maximize… more
- BMO Financial Group (New York, NY)
- …Income Compliance 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 ... related data to gain insights on regulatory risk. + Oversee the development and maintenance of guidelines and procedures, providing advice/rulings as necessary, for… more
- Siebert Williams Shank (New York, NY)
- …services for public sector clients and support senior bankers in business development efforts. SWS is a full-service investment banking and financial services ... 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… more
- US Bank (New York, NY)
- …and advises on regulatory and risk matters, as well as new product development and support **PREFERRED SKILLS/EXPERIENCE:** + Law degree required + Licensed in good ... supporting capital markets products + Experience with securities laws and broker- dealer regulatory matters + Experience with corporate finance, in particular the… more