- HUB International (Chicago, IL)
- …HUB is one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee benefits, risk services, ... them achieve their cross-sell targets. Work closely with marketing and sales operations to create targeted marketing campaigns and sales initiatives that align with… more
- TD Bank (New York, NY)
- …and State Securities Regulators) + In-depth knowledge of OCC, RIA and B/D Operations , investment products, trust + Must be able to delegate activities and ... acumen, comfortable with IT systems that support wealth management operations + Prior engagement with regulators (eg, FINRA, SEC,...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TEKsystems (Davidson, NC)
- …etc.) is required. * Fluency in English oral and written * US Customs Broker license strongly preferred * Bilingual (English/Spanish) preferred * Up to 10% travel ... priorities as required by the Americas trade compliance team and business operations . * Support performance metrics and evaluate internal and external service… more
- WellSpan Health (York, PA)
- …and acquisition/disposition of system properties. Manages the overall facility related operations of owned and leased facilities outside the acute care hospital ... and costs. + Manages and coordinates work with external real estate broker and legal counsel, in coordination with Sr. Director Facility Project, Planning… more
- Robert Half Finance & Accounting (New York, NY)
- …heavily weighted towards indexed portfolio management with some occasional middle office operations duties. Responsibilities + Rebalance and manage a select group of ... + Frequent interaction with multiple swap counterparties (large global banks) and broker dealers daily + Maintaining and updating performance and trading models to… more
- BMO Financial Group (New York, NY)
- …Income Compliance team in New York with a focus on FINRA and SEC broker -dealer requirements and corresponding oversight. We are looking for someone to work closely ... regulatory risk appetite based on an understanding of business operations and stakeholder needs. + Consult on new products,...+ Skilled knowledge of regulatory/ compliance requirements and the operations of a single client group. + Experience at… more
- TEKsystems (Carrollton, TX)
- Overview: The Condo Reviewer plays a critical role in the broker division, overseeing the review of all condominium projects. This individual ensures compliance with ... + Interest in underwriting and career growth in mortgage operations . + Some mortgage experience or condo experience -...our customers. Our expertise in strategy, design, execution and operations unlocks business value through a range of solutions.… more
- TD Bank (New York, NY)
- …inquiries by regulators covering various businesses, functions and topics, including operations , finance, regulatory reporting, and sales and trading, and prepare ... + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and...well as present sound solutions taking into account Bank operations and culture + Strong organizational and time management… more
- TD Bank (New York, NY)
- …to manage their regulatory risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but not limited to: + ... similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC,… more
- TEKsystems (Portland, OR)
- …Build partnerships with sales representatives to provide thorough customer updates, broker feedback and other pertinent action items that impact sales effectiveness. ... basic understanding of integrations. + Flexible schedule to accommodate PST operations . + Self-starter with initiative and a collaborative mindset. Additional Skills… more