- Arena Investors LP (Jacksonville, FL)
- …won't. Arena is looking to expand the team through the addition of a senior Compliance Officer. In this role, this individual will work closely with the compliance ... the Investment Advisers Act of 1940; . Support the CCO with FINRA broker- dealer requirements; . Monitoring of Client guidelines and restrictions; . Review of… more
- Citigroup (Getzville, NY)
- …and balance sheet for US Bank Chain Entities, US and Consolidated Broker Dealer Entities, and Hold Co. Entities. They lead liquidity/capital optimization and serve ... Bank Chain Entity Treasury, Holding Company Treasury, and Broker Dealer Treasury. This role will report directly to the...Treasurer and the broader team for committees, regulators, Board, senior management, and any other ad-hoc requests + Build… more
- TD Bank (Lake Mary, FL)
- …all requirements are met for the successful settlement of foreign broker dealer transactions. Responsibilities Include + Work with a team of operations employees ... to facilitate the daily settlement of foreign broker dealer transactions while mitigating risk. + Cross-train in several...project status and provide timely escalation of issues to senior management to ensure project objectives are met +… more
- Honeywell (Philadelphia, PA)
- …States you will manage and direct the activities of our industry leading dealer channel to ensure they are developing, promoting, and specifying the Phoenix Controls ... In your role, you will be responsible for: + Managing and guiding dealer Channel Sales Activities + Coordinating and Managing Projects + Provide Customer Support… more
- JPMorgan Chase (Tempe, AZ)
- Are you looking for a leadership position working with Auto Dealer floor plans? As a Loan Servicing Manager within the Chase Dealer Services Tempe Floorplan ... regional team of Floorplan Operations Specialists. Your duties will include overseeing dealer floorplan loans, payments, and offset equity transactions. You will be… more
- Bridgestone Americas (Brook Park, OH)
- …This role will report to the President & CEO of CFNA and serve as a senior leader on the Bank's executive team. The Director of Credit Operations will function as a ... Retail Operations (BSRO), the BATO (Bridgestone Affiliate Tire Operations) affiliated dealer channel, the non-BATO (Bridgestone Affiliate Tire Operations) dealer … more
- First Horizon Bank (Memphis, TN)
- …to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker- dealer and a bank dealer and offer general support to the ... Degree in Accounting, Finance or Business + Minimum 5 yrs. experience in broker- dealer Compliance or equivalent in legal, compliance or audit + Series 7 and… more
- Raymond James Financial, Inc. (Seattle, WA)
- …for clients' retirement plans and their participants. You will work directly with the Senior Consultants on those clients and as part of a larger team to ensure ... _About Raymond James:_ _RJA is an investment adviser and full-service broker- dealer dually registered with the Securities and Exchange Commission. RJA also… more
- Citizens (Iselin, NJ)
- …subsidiary of Citizens Financial Group, is a FINRA-registered institutional broker- dealer with approximately 650 associated professionals. We deliver strategic ... institutions. Position Overview The Head of Licensing & Registration is a senior -level role within the Compliance Department, reporting to the Chief Compliance… more
- TD Bank (New York, NY)
- …status, risks, issues, analyses/findings to Project Delivery Lead(s) and senior -level audiences. + Facilitate detailed requirements discussions across stakeholder ... executive presence with a demonstrated ability to present and advise senior leadership on strategic delivery approach and milestones. **EDUCATION REQUIREMENTS** +… more