- Bank of America (New York, NY)
- …+ Serves as a subject matter expert for the Asset Based Finance and Dealer Financial Services portfolios of loans, oversees the execution of ... Credit Review Senior Portfolio Manager Charlotte, North Carolina;Dallas, Texas; Chicago,...are guided by a common purpose to help make financial lives better through the power of every connection.… more
- Marex (New York, NY)
- …of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income, ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity,...in line with below responsibilities: + Provide Compliance Advisory services to broker- dealer business lines. + Complete… more
- Scotiabank (New York, NY)
- Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary Range:** 117,400.00 - 224,700.00 _Please note that ... a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our… more
- BMO Financial Group (New York, NY)
- Our ideal candidate has a SEC/FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker ... dealer operations and SEC/FINRA regulations. If you have dealt...perfect opportunity for you. Develops or maintains an effective financial governance and controls framework that defines the ways… more
- CIBC (New York, NY)
- …CIBC.com (https://www.cibc.com/en/about-cibc.html) **What You'll Be Doing:** The Swap Dealer Compliance Officer is responsible for performing important advisory, ... training, surveillance and analytical functions to support CIBC's Swap Dealer Compliance program. The Swap Dealer Compliance Officer is primarily responsible for… more
- Kestra Financial (Kings Park, NY)
- …the financial services industry allowing for a good understanding of broker/ dealer operations and financial services products, and basic financial ... Summary The Client Service Associate reports to the Financial ...business objectives + Other responsibilities as assigned by the Senior Client Service Associate Knowledge, Skills, and/or… more
- Lincoln Financial (Albany, NY)
- …role include designing, managing, maintaining and securing LFG's (Lincoln Financial Groups) Active Directory, Active Directory Certificate Services , ... This role will have exposure working with application and service owners to adopt modern authentication patterns such as... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale… more
- Mizuho Corporate Bank (New York, NY)
- …+ knowledge of financial accounting including relevant US GAAP for the financial services industry + Experience in project management and people management , ... by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout… 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. ... 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...foundation in US securities laws and regulations and broker dealer operations, products and services . + Ability… more
- Lincoln Financial (Albany, NY)
- …of 10+ years' experience as an attorney preferably either at a law firm or financial services company + Experience with the tax treatment of life and annuities ... contracts, prospectuses, policies, and proposals - Experience in a financial services /insurance organization is preferred - Demonstrated... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale… more