- Guardian Life (New York, NY)
- …serve as the expert on all aspects of our managed account model management , trading platform, annuity operations as well as all associated custody, clearance, and ... on the following functions + Advisor as PM: model creation, management , trading + Multi-Account/Strategy proposals and implementation + Envestnet Trading methodology… more
- MUFG (New York, NY)
- …all broker dealer treasury functions including funding and liquidity risk management , asset liability management , interest rate risk measurement / modeling / ... + Adhere to all Enhanced Prudential Standards requirements for US Broker Dealer including Intraday monitoring, collateral management , cash flow forecasting,… more
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities (broker- dealer ), and wealth management businesses + Excellent written, verbal ... to build a more resilient and scalable compliance risk management function. As part of our team, you'll play...the US Head of Compliance Programs + Supports the management of the Compliance Risk Assessment framework to ensure… more
- Citigroup (Getzville, NY)
- …responsible for the implementation and oversight of regulatory reporting, including exception management and risk mitigation across swap dealer reporting. The ... regulatory reporting initiatives and enhancements + Control and exception management on swap dealer reports + Industry...+ Control and exception management on swap dealer reports + Industry level advocacy across multiple trade… more
- SMBC (New York, NY)
- …its employees. **Role Overview** The Vice President (VP) in the Risk Management Coordination Team plays a pivotal role in operational coordination and facilitation ... This includes committee governance, regulatory and audit engagement, and issue management . The VP is responsible for ensuring timely, consistent, and high-quality… more
- Capital One (Buffalo, NY)
- …set of Automobile Dealerships, providing consultative guidance to help each dealer achieve its operational objectives. Your ability to build entrenched relationships ... products and lending solutions. As the primary point of contact for each dealer , you will be responsible for the end-to-end activities related to product adoption… more
- Trane Technologies (NY)
- …will be responsible for developing sales strategies, supporting, and coaching dealer representatives, and meeting financial targets for accounts within the district. ... and objectives will be to develop plans to secure revenue growth, improve Dealer performance, capture competitive accounts, and focus efforts on sales for new and… more
- Manulife (New York, NY)
- …5-7 years of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly ... screening, monitoring & reporting requirements) + Responsible for the management of Investor Services AML/KYC onboarding due diligence (processes, controls,… more
- Manulife (New York, NY)
- …5-7 years of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly ... screening, monitoring & reporting requirements) + Responsible for the management of Investor Services AML/KYC onboarding due diligence (processes, controls,… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York Metro area, ... of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in...of MHBK's Internal Audit Division (IAD). SUMMARY: The Risk Management Audit Team is looking for a VP level… more