- TD Bank (Charlotte, NC)
- …regulations, risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management + Prior experience working with ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking… more
- Bank of America (Dallas, TX)
- …Control and Reporting Services Team within Business Controls is responsible for Broker Dealer Separation Oversight, Identify & Access Management Governance, ... A Job expectations include providing quality service and effective operations support for internal business partners and external clients. **Responsibilities:**… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg, ... the largest-and growing-banks in the world. About the Team Operations Regulatory Reporting is a newly created team within... Regulatory Reporting is a newly created team within Operations that is responsible for the execution and submission… more
- City National Bank (New York, NY)
- …or operations within an investment management firm, hedge fund, or broker - dealer * Minimum 5 years of experience using Microsoft Office applications, ... will bring both trading experience and technical proficiency to help streamline operations and improve accuracy across the platform. The role also requires the… more
- TD Bank (Mount Laurel, NJ)
- …maintenance and implementation of the Firm's policies & procedures related to broker dealer policies, training materials, and certifications.** + **Various ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking… more
- TD Bank (Portland, ME)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management businesses + Excellent written, verbal ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...and creative in your approach. You will manage day-to-day operations while also helping design and implement a forward-thinking… more
- Mizuho Corporate Bank (New York, NY)
- …consulting function, designed to add value and improve MUSO including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... Americas LLC ("BHC" or "Mizuho"), its US subsidiaries and operations , which are collectively referred to as Mizuho US..., which are collectively referred to as Mizuho US Operations ("MUSO"). MUSO is comprised of Mizuho Bank (USA),… more
- Lincoln Financial (Fort Wayne, IN)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... services and support. **What you'll be doing** * Directing the facilities operations for repair & maintenance of all technical systems (electric, HVAC, Plumbing,… more
- BlackRock (Wilmington, DE)
- …facilitating trading activity with providers. Key focuses include managing day-to-day broker / dealer and custody relationships, ensuring globally consistent trade ... stellar service? Look no further. BlackRock is currently seeking a Transaction Management Operations Director to become part of our team. We recognize that strength… more
- SMBC (Charlotte, NC)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional ... focusing on North America and Latin America. The Securities Operations Group within SMBC Nikko Securities America, Inc. is...an extension of the broader New York based Securities Operations team. The role reports to the Head of… more