- 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...team in a dynamic environment + Knowledge of various FINRA , SEC, or CFTC regulations + Experience with various… more
- Citizens (Westwood, MA)
- …planning. Required Qualifications: + 7+ years of experience in wealth management, broker - dealer operations , or financial services + Proven leadership ... Manager, you are responsible for overseeing and managing the operations of the wealth management group. Additionally, you ensure...with trading oversight, QA/QC, and risk management + Active FINRA Series 24 and Series 7 Preferred Qualifications: +… more
- City National Bank (Dallas, TX)
- …Retirement and Custody Services, Specialty Wealth Assets, Investment Advisory, Broker / Dealer , Investment Banking activities for CNB's Capital Markets, ... Registered and Unregistered Fund Vehicles, Support Functions ( Operations , Compliance, Risk)Thrives in a dynamic team-based environment, effectively manages… more
- City National Bank (New York, NY)
- …other regulatory affairs. * Experience with a financial institution such as a broker / dealer and/or registered investment adviser. * Experience working within a ... Develop procedures in coordination with Investment Management teams, IT/Programmers, Operations , Legal and Compliance * IT Coordination: Coordinate with IT… more
- Huntington National Bank (Columbus, OH)
- …role in the delivery of risk strategy and execution for Huntington's Broker / Dealer , Registered Investment Advisor and Trust Investment Management businesses. ... and regulations relevant to the Wealth organization's industry and operations + Knowledge and ability to work with MS...MS Office products effectively and efficiently Preferred Qualifications: + FINRA Series 7 and 24 Licenses or ability to… more
- Raymond James Financial, Inc. (St. Petersburg, FL)
- …products. + Advanced principles of banking, trust and finance and securities broker / dealer operations . + Wealth Planning offerings and partnerships, ... education, and/or training approved by Human Resources. **Licenses/Certifications** + FINRA Series 7, insurance or other applicable licenses or certifications… more
- Citigroup (Getzville, NY)
- …functions for ad-hoc analysis, such as filtering, sorting, pivoting, lookups, etc. + Broker / Dealer books and records fluency, such as stock record **Education:** ... Markets businesses (Prime Client Execs & Prime Finance traders), Markets Operations (NY/NJ), Financial Controllers (NY), Technology, Prime Legal, Compliance (NY/NJ),… more