- Bank of America (Charlotte, NC)
- …and risk points of view, including appropriate escalation and communication to Senior Management + Conduct and document risk's acceptance and understanding of the ... all scenarios + Lead EFR coverage of SEC broker dealer net capital rules and CFTC swap dealer... dealer net capital rules and CFTC swap dealer capital rules, including executing capital calculation testing and… more
- Scotiabank (New York, NY)
- …Program covers US regulations applicable to all of Scotiabank's US broker- dealer (including internal inspections), banking, swap dealer , futures commission ... Escalate potential issues and exception items noted during the review process to senior management. + Ensure that the stakeholders respond with appropriate action to… more
- Broadridge Financial Solutions (New York, NY)
- …sales and/or consulting with ability to establish, develop and maintain senior -level relationships across bank and broker- dealer accounts. Candidate must ... market, specifically the general workings of wealth management and capital markets broker/ dealer operations, as well as exposure to, or experience in, working in… more
- Athene (West Des Moines, IA)
- …environment at our various locations. Purpose: Athene Securities is expanding its broker- dealer and is looking for an individual with experience in compliance and ... supervision of a brokerage firm. The primary focus is broker- dealer compliance and supervision, branch office inspections, registered representative oversight, and… more
- ITW (Glenview, IL)
- …Development Manager (SDM) is a highly visible position that reports to the Senior Business Development Manager (SBDM) for Comb/Steam, requiring a strong and open ... product portfolio to a diverse base within the industry, including dealer /distributor partners, foodservice consultants, and end customers across numerous business… more
- International (Lisle, IL)
- …interface, market growth, and profitability for International Financial and International's dealer channel. Achieve sales results and margin by developing and ... organization who assist in driving new business. + Understand and carry out senior management's sales objectives with respective market place / territory. to achieve… more
- The Toro Company (Beatrice, NE)
- Senior Marketing Manager, Outdoor Power Equipment - The Toro Company Who Are We? The Intimidator Group, LLC was founded in Batesville, Arkansas in 2013 with the ... innovative organization and invite you to join our team! Your Opportunity: The Senior Marketing Manager for for The Toro Company's Spartan Mowers Division, you will… more
- Charles Schwab (Westlake, TX)
- …management policies, ensuring compliance at all times, and escalating issues to senior management as necessary. We work with internal and external partners on ... Demonstrated detailed knowledge of finance + Deep knowledge of broker / dealer liquidity and collateral requirements + Extensive experience and knowledge required in… more
- Atria Wealth Solutions (King, NC)
- …rules and regulations set forth by the credit union, FINRA, SEC and the broker/ dealer . + Accountable for meeting annual business plan and production goals. + Provide ... Financial Services, LP (CFS). Member FINRA/SIPC. CFS is a broker/ dealer and RIA with a stable track record of...the future of wealth management with the open-minded agility, senior -level access, and expert technology to help get you… more
- TD Bank (New York, NY)
- …This function enables efficient and effective program delivery of the dealer 's major, cross functional initiatives. TDS Change Delivery reflects a significant ... evolution of our approach to managing and delivering change in the dealer 's largest cross functional initiatives. The Project Manager has responsibilities including… more