- Robert Half Finance & Accounting (New York, NY)
- Description Robert Half Financial Services is recruiting for a US Head of Finance & Accounting role for a global Broker Dealer /Swap Dealer firm located ... of Accounting and Finance experience within Prime Brokerage, Capital Markets or a Swap Dealer firm. The role reports directly into the Group CFO and oversees … more
- CIBC (New York, NY)
- …of business, which includes global markets, investment banking and corporate banking services provided through the US broker- dealer , CIBC World Markets Corp., ... the US Compliance Examination Plan established to ensure adherence with broker- dealer requirements and compliance with federal and self-regulatory organization (SRO)… more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit cards, and consumer finance. ... than 130 offices and 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of SMBC Group, which is… more
- TD Bank (New York, NY)
- …in assets on October 31, 2018. TD also ranks among the world's leading online financial services firms, with more than 12 million active online and mobile ... Bank Group (TD). TD offers a full range of financial products and services more than 25...delivering: . Fixed Income cash securities pricing . FI Dealer -to- Dealer order execution . FI Dealer… more
- Arrow Financial Corporation (Glens Falls, NY)
- …manual lien filing on loans held with funding issues. Provides exceptional customer service and support to dealer network and indirect lending staff while ... The Arrow Financial Corporation Family of Companies is seeking dynamic,...the accurate storage of documents. > Provide outstanding customer service to dealer network; answer questions and… more
- Mizuho Corporate Bank (New York, NY)
- …security-based swap dealer as well as Volcker rule). Knowledge of financial services operations, finance, liquidity, compliance, conduct, financial ... license relevant to the profession. + Demonstrates a sound understanding of the financial services industry, including audit, financial , equity & research,… 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 ... of business operations and stakeholder needs. + Consult on new products, services and automated systems to assist with incorporating compliance requirements into… more
- TD Bank (New York, NY)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... course of action and best practices to improve products, processes or services + Acts as a technical expert/lead integrating cross-function understanding within… more
- Guardian Life (New York, NY)
- …department projects and ongoing recruitment strategy **You have** + 3-5 years of broker- dealer operations or service experience + Ability to create strong ... personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency...realize their dreams through a range of insurance and financial products and services . Our Purpose, to… more
- Capital One (New York, NY)
- …platforms and to enable new Capital Markets capabilities that expand our portfolio of services for clients and in doing so drive continued revenue growth in an ... knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer ...Designations including Series 7 / 63 License or Chartered Financial Analyst (CFA) certification **Basic Qualifications:** + At least… more