- HSBC (New York, NY)
- …of legal experience with a strong knowledge of US securities laws, FINRA broker- dealer rules, and CFTC rules and regulations. A knowledge of regulations relating to ... trading agreement negotiations and regulatory issues impacting the firm's business relationship with its clients + Drive implementation of scalable process/procedure… more
- Ally (Albany, NY)
- …all Ally's auto finance products, plans, and programs such as floorplan financing, Dealer Products & Services, and SmartAuction. * Market and promote the full ... You Bring** * 3+ years of experience required. * Experience in a dealer -interfacing role within the auto finance space required. * Ability to leverage industry… more
- JPMorgan Chase (New York, NY)
- Join the Foreign Banks and Broker Dealer Payments Sales team! As a Payments Sales Manager within the Financial Institutions Group - Foreign Banks and Broker ... Dealer segments, you will be primarily responsible for developing...internal partners and clients to implement a balanced risk/reward relationship . + Demonstrated ability to work across cultures with… more
- TD Bank (New York, NY)
- …to proceed + Building trust with stakeholder groups and maintain good working relationship with other departments + Leading an effective and diverse business team to ... This function enables efficient and effective program delivery of the dealer 's major, cross functional initiatives. TDS Change Delivery reflects a significant… 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 ... knowledge of multiple FICC market activities preferred including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more
- TD Bank (New York, NY)
- …not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.… more
- TD Bank (New York, NY)
- …Qualifications:** + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.… more
- MUFG (New York, NY)
- …including trade settlement and trade flow. Proven experience working within a Broker/ Dealer environment. + **Product Knowledge:** Expertise with a broad range of ... the financial services industry, preferably in a relevant role within a Broker/ Dealer or similar organization. + Demonstrated ability to effectively manage and… more
- TD Bank (New York, NY)
- …not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... with senior managers and other stakeholders globally, as well as relationship and network building that fosters advancement of collaborative working relationships.… more
- MUFG (New York, NY)
- …with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer , Volcker and ... believes that criminal history may have a direct, adverse and negative relationship potentially resulting in the withdrawal of conditional offer of employment, if… more