- Broadridge Financial Solutions (New York, NY)
- …your career, while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- M&T Bank (Baltimore, MD)
- …Manage the first line of defense risk management responsibilities of the Investment Bank and Institutional Broker -Dealer in accordance with the Enterprise Risk ... team on risk and control topics impacting the Institutional Broker -Dealer, Corporate Securities Underwriting, and Syndications/ Participations. **Primary Responsibilities:**… more
- TD Bank (Fort Lauderdale, FL)
- …procedures, and training.** + **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 .** + **FINRA Series 7, 63 and 24 preferred.** **Customer Accountabilities:** + Proactively advises… more
- TD Bank (Charlotte, NC)
- …business writing abilities.** + **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… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank 's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) ... Head of Product, Commercial Bank Capital Markets **Capital Markets | Head of...is a high growth business within Capital One's commercial bank serving corporate and institutional clients across multiple business… more
- TD Bank (New York, NY)
- … (GSIB), or the equivalent experience at a regulatory body (eg, leading a bank or broker /dealer exam team). + Surveillance experience at Financial Market ... equity research franchise, while growing our strong, diversified investment bank . We are growth-oriented, people-focused, and community-minded. As a team,… more
- Columbia Bank (Eugene, OR)
- …service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker /dealer regulations for assigned job function as applied ... or exceed assigned production goals. + Maintain effective relationships with all Bank personnel in assigned branches by holding meetings and trainings, answering… more
- MUFG (New York, NY)
- …Requirements** + 5+ years of experience in treasury, funding and liquidity at a broker dealer and/or bank . + Ability to analyze, troubleshoot and strategically ... provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo...the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk… more
- US Bank (Hackensack, NJ)
- …asset value (NAV) calculations. + Prepare daily general ledger entries, prime broker and bank cash reconciliations, advisor and portfolio management processing, ... At US Bank , we're on a journey to do our best....is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities to… more
- SMBC (New York, NY)
- …of general elements of credit risk as well as legal/compliance related to Bank and Broker Dealers + Excellent communication and presentation skills, both ... solutions to clients within the following industry sectors: Banks and Broker Dealers, Regulated and Alternative Investment Managers and Funds, Insurance Companies… more