- Robert Half Finance & Accounting (New York, NY)
- …Financial Services are hiring for a Compensation Accounting Manager role for a global Broker Dealer & Capital Markets firm located in midtown Manhattan New York. ... Our client requires 5+ years Compensation Accounting experience within the Financial Services Industry (Banking, Securities, Capital Markets, Asset Management etc.). Must have experience with Deferred Compensation/Equity, Variable Pay/Bonuses, Cost Control,… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... knowledge of various loan types and FN/FH/GN and private Investor delivery requirements. * Thorough understanding of Federal and State regulations including but not limited to FHA/VA and Conventional guidelines, RESPA, TILA, HOEPA, MDIA, QM and ATR… more
- Huntington National Bank (Columbus, OH)
- …or related experience Preferred Qualifications: + Bachelor's Degree + At least 1 year of Broker dealer experience + FINRA SIE, Series 7 and Series 63 + Proven ... experience in client service, operations, or sales support within financial services + Detail oriented with exceptional written, verbal and interpersonal communication skills as well as strong organizational skills and problem-solving skills + Ability to… more
- City National Bank (Jersey City, NJ)
- …benefit, and personal trust relationships, propriety mutual funds, investment management, broker / dealer and security sales and trading activities. IT audits ... including network, databases, operating systems, information security applications, security administration and business continuity planning. Compliance audits assessing the bank's compliance program to ensure processes are adequately designed and functioning… more
- Santander US (Boston, MA)
- …stay current with competitive trends. + Maintain compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... investment and insurance products including Santander Policy Statement governing the sale of uninsured products. + Maintain required professional training and license requirements, including knowledge of FINRA compliance, FDIC compliance, the Bank's uninsured… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to… more
- MUFG (New York, NY)
- …3-5 years of experience in US Treasury securities settlements, preferably in a broker - dealer environment. + Strong analytical and problem-solving skills with a ... high attention to detail. + Proficiency BONY BDC, Broadridge Impact, Broadridge BPS and MS Excel. + Excellent communication and interpersonal skills. + Ability to work independently and as part of a team in a fast-paced environment. + Meticulous in ensuring… more
- ManpowerGroup (New York, NY)
- …with large, complex projects involving multiple teams + Knowledge of securities broker / dealer registration and licensing rules + Proficiency in creating policy, ... procedure, and playbook documents + Strong communication skills to interface effectively with senior management + Excellent organizational, problem-solving, and time management skills **What's in it for me?** + Opportunity to work on impactful projects within… more
- Regions Bank (Birmingham, AL)
- …ethic and self-motivation **Additional Preferences** + Prior compliance experience in banking, broker - dealer in a lead or oversight position. + Marketing and ... advertising experience. + Team player that is looking to help establish new processes, oversight, and controls. + Someone who works independently and foresees issues and resolutions. **Position Type** Full time **Compensation Details** Pay ranges are job… more
- Wells Fargo (St. Louis, MO)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... regulatory obligations, which include periodic screening and mandatory reporting of certain incidents. + Specific compliance policies may apply regarding outside activities or personal investing; affected employees will be expected to provide information to… more