- Citigroup (Getzville, NY)
- …firm to: design, execute, and monitor efficacy of controls to ensure customer securities are segregated in our international network of custody locations on a timely ... for ad-hoc analysis, such as filtering, sorting, pivoting, lookups, etc. + Broker /Dealer books and records fluency, such as stock record **Education:** +… more
- Bank of America (New York, NY)
- …liquidity and interest rate risks, including price risk in the CFO managed securities portfolio. As the Chief Risk Officer (CRO) function covering the Chief ... of Liquidity Risk & LOB team and approval via senior executives and broker -dealer Board of Directors, as appropriate. Monitor and notify or escalate limit breaches… more
- Broadridge Financial Solutions (Edgewood, NY)
- …skills + A self-starter with excellent interpersonal and organizational skills + Securities and/or class action industry experience a plus + Detail oriented ability ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- KeyBank (Albany, NY)
- …group of KIS registered representatives on behalf of the bank channel broker -dealer. The Central Supervision Principal is responsible for the principal supervision ... Business Administration preferred *A minimum of 5 years' experience in securities supervision/compliance activity within a brokerage or bank-based brokerage firm.… more
- JPMorgan Chase (Brooklyn, NY)
- …access to global markets for settlements, safekeeping, and asset servicing of securities . Your role will also involve offering ancillary services such as Foreign ... to our core client segments, including Asset Managers, Asset Owners, Insurance/GSEs, Banks/ Broker Dealers, and Hedge Funds and Alternatives. Our team is committed to… more
- NBT Bank (Williamsville, NY)
- …Abilities: + Thorough knowledge of investment and insurance products and applicable securities and insurance rules and regulations + Strong communication and PC ... player and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA Series 7,… more
- JPMorgan Chase (Brooklyn, NY)
- …access to markets globally for settlements, safekeeping and asset servicing of securities , along with ancillary services such as Foreign Exchange and Liquidity ... helps service our core client segments: Asset Managers, Asset Owners, Insurance/GSEs, Banks/ Broker Dealers and Hedge Funds and Alternatives. You will be committed to… more