- Citizens (New York, NY)
- …subsidiary of Citizens Financial Group, is a FINRA-registered institutional broker- dealer with approximately 650 associated professionals. We deliver strategic ... execution across Investment Banking, Mergers & Acquisitions, Equity and Fixed Income Sales & Trading, Research, Corporate Access, and Corporate Banking. We foster a… more
- Citizens (New York, NY)
- …decides on approving/declining submitted transactions on behalf of the broker- dealer . This individual must have the appropriate FINRA registrations, including ... understand risks associated with client approvals/declines in order to limit broker dealer liability and financial loss + Independently determine business is in good… 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, ... corporate and investment banking, capital markets, equity and fixed income sales & trading, derivatives, FX, custody and research. Visit www.mizuhoamericas.com.… 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 ... audits and examinations. + Provides regulatory perspective on business group's sales and marketing materials. + Anticipates/ identifies and analyses risk and… more
- Siebert Williams Shank (New York, NY)
- …corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful ... share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC-registered… more
- Siebert Williams Shank (New York, NY)
- …corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful ... share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC-registered… more
- Guardian Life (Albany, NY)
- The Business Resource Center (BRC) is Guardian's advanced sales department and we are seeking a Tax Planning Consultant. We are an organization providing superior ... owner clients. **You Will** + Provide superior case consultation and sales support to Guardian agency leaders, financial representatives, and brokers ("producers")… more
- Chemung Canal Trust Company (Elmira, NY)
- …and compliant with regulations and policies. + Compiles and reports necessary sales and referral information for Program Manager review and ensures proper ... as necessary. + Works with Program Manager in establishing personal growth, sales and revenue objectives, providing input and market intelligence. Accountability for… more
- Santander US (Staten Island, NY)
- …investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client satisfaction. The Financial Advisor ... by the client. **Essential** **Functions/Responsibilities:** + Identifies and pursues new sales prospects within existing or untapped markets. + Gathers market… more
- 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 ... Connecticut, Rhode Island and Massachusetts, we pride ourselves on providing best-in-class sales and support to over 15,000 hardworking customers. Since our founding… more
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