- BMO Financial Group (New York, NY)
- …Capital Markets Compliance team is hiring for a CCO of it's two US broker- dealer entities in New York, BMO Capital Markets Corp (BMOCMC) and Clearpool Execution ... Services, LLC (CES). The broker- dealer CCO would manage the implementation, maintenance and administration...banking services and regulatory requirements. + Serves as a specialist resource within BMO Capital Markets with advanced knowledge… more
- CIBC (New York, NY)
- We're building a relationship -oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what's right for our clients. ... **What You'll Be Doing:** The Capital Markets Compliance Examination Specialist is responsible for the execution of the US Compliance… more
- SMBC (New York, NY)
- …in Charlotte, NC, London and Hong Kong. SMBC CM is an established derivatives dealer with a broad product portfolio focused on interest rates and foreign exchange ... products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker- dealer and member of the Financial Industry Regulatory Authority (FINRA) and… more
- MUFG (New York, NY)
- …will provide more details. We are seeking a senior settlement system support specialist to serve as the technical bridge between operations and the technology that ... powers our broker dealer settlement engine. This role requires deep expertise in...technical concepts into actionable guidance for operations staff. This specialist will ensure settlement processes run efficiently, reliably, and… more
- Monroe Tractor (Buffalo, NY)
- Wirtgen Product Specialist Buffalo, New York, United States Apply now Monroe Tractor is a well-known and respected construction equipment and agricultural equipment ... dealer with over 70 years of experience servicing the...We are seeking a knowledgeable and driven Wirtgen Product Specialist to serve as the subject matter expert for… more
- JPMorgan Chase (New York, NY)
- …risk spectrum and capital stack. **Job Summary** As the Executive Director, Investment Specialist on the Real Estate Americas client strategy team, you will focus on ... to proactively position our real estate solutions through RIA's and our broker- dealer partners. + Develop and implement a comprehensive sales strategy that aligns… more
- Guardian Life (New York, NY)
- …life and annuity insurance products. Park Avenue Securities is Guardian's broker- dealer and corporate Registered Investment Advisor (RIA), which offers clients an ... and solutions to help them achieve financial well-being. The High Net Worth Specialist plays a critical role in driving growth within our wealth management business… more