- C-4 Analytics (New York, NY)
- …acquisition. C-4 Analytics is committed to developing innovative solutions for every dealer in every market, and to providing the highest levels of accountability ... Executive: New York, NY + Drive outreach based on a curated list of dealer prospect targets, developed with Sales Operations to maximize impact + Prospect via cold… 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
- Bosch (New York, NY)
- …the market + Work with marketing and local team to execute events at the dealer , on-site, and at local trade unions to drive Bosch brand insistence in your market. ... crib and on-site + Execute local events at the jobsite and with local dealer partners + Engage with CRM daily to drive effective business development through data… 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 ... and a sound regulatory capital base. We are a SEC-registered securities broker- dealer and member of the Financial Industry Regulatory Authority (FINRA) and the… more
- Deloitte (New York, NY)
- …a financial services organization (preferably a bank, capital markets organization or broker- dealer ), regulatory agency, or consulting firm with a clear record of ... the risk function at a bank, capital markets organization or broker- dealer , including execution and oversight processes, risk assessment, reporting, controls,… 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 ... FINRA, SEC and NASD rules. + Experience working with financial industry regulators, including OCC, FRB, and FINRA + Deep knowledge of risk assessment, audit methodology, and audit execution + Demonstrated proficiency in technology as required for assigned… more
- Raymond James Financial, Inc. (New York, NY)
- …an understanding of the market standard risk management practices . Broker- dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... (15) years of financial services experience required . Experience in broker- dealer or wealth management firms preferred, especially with exposure to front-office… more
- TD Bank (New York, NY)
- …+ **Experience responding to client complaints within a bank or broker- dealer .** + **Experience reviewing and providing guidance on advertising and marketing ... materials for a broker- dealer /bank.** + **Prior testing, audit or business operations experience in areas involving regulatory compliance.** + **Detail oriented and… more
- US Bank (New York, NY)
- …supporting capital markets products + Experience with securities laws and broker- dealer regulatory matters + Experience with corporate finance, in particular the ... regulatory authorities, especially the SEC and FINRA + Experience with broker- dealer corporate governance + Familiarity and experience with relevant trade groups… more
- 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 ... projects and ongoing recruitment strategy **You have** + 3-5 years of broker- dealer operations or service experience + Ability to create strong working relationships… more