- Raymond James Financial, Inc. (New York, NY)
- …pace with the changing business environment. . Builds trusted relationships with senior leadership, including executive management of the Private Client Group (PCG), ... effectiveness of current risk management strategies to the Board of Directors, senior management and various risk committees. . Collaborates with the business and… more
- Guardian Life (New York, NY)
- …internal and external partners, including financial professionals, general agents, and senior management + Excellent with time management and have strong ... and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, and financial… more
- Capital One (New York, NY)
- …Product, Commercial Bank Capital Markets **Capital Markets | Head of Product | Senior Director** The Capital Markets Group is a high growth business within Capital ... working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) activities. + Thought leader in the… more
- Citigroup (New York, NY)
- …issues escalated + Review and approval of designated bank-channel and broker- dealer investments + Manage surveillance alerts within stated policy guidelines + ... Interface, consult with and escalate to Senior Management and partners including, but not limited to,...Series 9/10 also preferred + Knowledge of Bank and Broker- Dealer businesses, regulatory requirements and related policy + Knowledge… 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, ... and discuss issues, challenges and methodologies with internal audiences including senior management. Technical Skills (Essential) - Advanced degree in quantitative… more
- ManpowerGroup (New York, NY)
- …of financial products. You'll work closely with industry experts and senior stakeholders to review, refine, and build surveillance capabilities. The environment ... asset classes, especially: + Fixed IncomeOTC fixed income instruments, RFQs, or dealer -to- dealer workflows exposure to rates, credit, and structured products +… more
- Kestra Financial (Kings Park, NY)
- …keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance + Process, ... pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Knowledge, Skills, and/or Abilities + Advanced computer… more
- JPMorgan Chase (New York, NY)
- …Alternatives, Solutions). **Job Summary** As a Broker Relationship Management (BRM) Senior Analyst within the Broker Relationship Management team, you will be ... **Job Responsibilities** + Support regional BRM leads to assist with delivery of senior business asks from X-AM internal product groups, globally. Develop a broad… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker- Dealer : The Deputy Chief Compliance and Risk Officer, will be a highly ... visible, senior leadership position, reporting directly into the Global/Executive Chief...Chief Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW business… more
- TD Bank (New York, NY)
- …to effectively report on the status of Compliance regulatory initiatives to senior management, relevant boards and external stakeholders. + Support development of ... experience **Preferred Qualifications:** + Experience with a registered US broker dealer , regulator, or global financial organization. + JD preferred but not… more