• Senior Compliance Officer - Fixed Income Advisory

    Marex (New York, NY)
    …line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete or assist in completing US Broker Dealer ... inquiries. + Complete or assist in completing US Broker Dealer BCAC (Business Change Approval Committee ()guidance for management...regulatory and compliance advice to business partners about complex sales and trading issues. + Create or assist in… more
    Marex (05/30/25)
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  • Documentation and Operations - AVP

    SMBC (New York, NY)
    …structure and legal validity of personal and corporate guaranty, security interest, sales tax and vendor/ dealer invoices and quotes. This individual is ... landlord/mortgagee waivers, amendments, assignment documents + Interface with regional sales managers, dealers, vendors and customers regarding documentation deficiencies… more
    SMBC (04/16/25)
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  • Territory Field Manager / Batavia area - Seedway

    GROWMARK, Inc. (Hall, NY)
    …Batavia area.. * _SUPERVISION AND LEADERSHIP_* Supervises, leads and develops the dealer network to successfully grow the company's business by providing leadership, ... maintaining performance management standards. * _ESSENTIAL JOB FUNCTIONS_* Works with Sales Manager in the development and implementation of marketing plans within… more
    GROWMARK, Inc. (06/03/25)
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  • Attorney II - Fixed Income, Global Banking…

    Bank of America (New York, NY)
    …will be responsible for the following activities supporting Global Markets' Fixed Income sales and trading business, among others: (i) the analysis of complex legal ... businesses, including mortgages, credit, and rates products, including working with sales , trading, and syndicate personnel. + Ongoing advice in connection with… more
    Bank of America (06/11/25)
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  • Fleet Telematics Specialist

    Monroe Tractor (Henrietta, NY)
    …Tractor is a well-known and respected construction equipment and agricultural equipment dealer with over 70 years of experience servicing the northeastern US. With ... Vermont, Connecticut, and Massachusetts, we pride ourselves on providing best-in-class sales and support to over 15,000 hardworking customers. Since our founding… more
    Monroe Tractor (05/07/25)
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  • FR2004 Regulatory Reporting, AVP

    MUFG (New York, NY)
    …responsible for supporting the firm's initiative to become a US Government Primary Dealer . The candidate will work with various internal and external stakeholders in ... for the Flow Products Rates and Credit Trading Desks and Institutional Investor Sales Desks. RESPONSIBILITIES + In depth knowledge of the various FR2004 reporting… more
    MUFG (06/08/25)
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  • Director, Head of Surveillance

    Capital One (New York, NY)
    …Trade Surveillance for Capital One's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. You will maintain the Surveillance function in ... decision-making. **Responsibilities:** + Oversight of trade surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker-Dealers (equity… more
    Capital One (05/08/25)
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  • Internal Audit - Equities

    Mizuho Corporate Bank (New York, NY)
    …or research (including equities, electronic and program trading, equity research, sales , trading mandates, markets conduct, swap dealer and security-based ... corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.​​… more
    Mizuho Corporate Bank (05/23/25)
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  • Research Associate

    Neuberger Berman (New York, NY)
    The broker- dealer channel is responsible for the distribution of mutual funds, separately managed accounts and alternative investments to wirehouses, regional broker ... with the team's Research Director to organize and manage existing broker- dealer manager research relationships by providing efficient and thorough client service… more
    Neuberger Berman (05/14/25)
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  • Advisor Transitions Specialist

    Guardian Life (New York, NY)
    …and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, and financial ... ongoing recruitment strategy **You have** + 3-5 years of broker- dealer operations or service experience + Ability to create...salary, this role may also be eligible for annual, sales , or other incentive compensation. **Our Promise** At Guardian,… more
    Guardian Life (06/11/25)
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