- PNC (New York, NY)
- …supporting the Compliance Audit team supporting Corporate & Institutional Banking, Treasury Management , Swap Dealer & Broker Dealer . This position ... ensure they adhere to and support PNC's Enterprise Risk Management Framework. **Qualifications** Successful candidates must demonstrate appropriate knowledge,… more
- Marex (New York, NY)
- …in completing broker- dealer guidance, related to business change proposals, for management review. + Manage broker- dealer Business Line management ... Purpose of Role: Marex is seeking a Senior Compliance Officer - Broker Dealer Advisory who will provide compliance advisory services for Equities, Fixed Income,… more
- Akwesasne Mohawk Casino Resort (Hogansburg, NY)
- …for a team of 5-7 associates. + Other duties as assigned by Table Games Management . Dealer : + Ensures the highest standards of guest service; utilizing the 3 ... Position: Table Games Floor Supervisor/ Dealer Department: Table Games Reports to: Table Games...of the Akwesasne Mohawk Casino Resort. Summary : The Dealer must exhibit a friendly, helpful and courteous manner… more
- Scotiabank (New York, NY)
- …institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management , and corporate ... Compliance Testing Senior Manager, Swap Dealer and Derivatives Compliance **Requisition ID:** 220508 **Salary...a full range of investment banking, credit and risk management products and services relevant to the financing and… more
- Bank of America (Albany, NY)
- …of underlying risks are appropriately managed * Executes all categories of risk management activities, including monitoring dealer activity / negative news to ... CVL Dealer Sales - Retail Client Manager Albany, New...require a self-motivated individual with strong communication skills, time management skills, computer skills, and the ability to perform… more
- SMBC (New York, NY)
- …a regulatory advisory function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the ... observer of various committees such as the New Product, Underwriting, Risk Management , Compliance, IT Risk and Training committees. The Compliance Advisory Associate… more
- Ford Motor Company (Albany, NY)
- …to find opportunities, deliver recommendations and obtain commitment from dealership management to implement recommendations. Review results with Dealer ... Dealer Report process to strengthen relationships, identify and improve dealer profit or loss opportunities, improve inventory management , and increase… more
- Fox Dealer (New York, NY)
- …this is a fully REMOTE role HQ is in Las Vegas, NV. Regional Director, Sales & Dealer Development At Fox Dealer , we are on a mission - to find simple, data-drive ... be the position you've been looking for! The Regional Director, Sales and Dealer Development is responsible for working with car dealers within a regional geography… more
- Raymond James Financial, Inc. (New York, NY)
- …Management products and an understanding of the market standard risk management practices . Broker- dealer supervisory frameworks, retail investment platforms, ... of fifteen (15) years of financial services experience required . Experience in broker- dealer or wealth management firms preferred, especially with exposure to… more
- Marex (New York, NY)
- …completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management review + Manage US Broker Dealer Business Line management ... and its technology-led service provides access to all major exchanges, order-flow management via screen, voice and DMA, plus award-winning data, insights and… more