- Huntington National Bank (Columbus, OH)
- Description The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the Compliance ... Director oversees a team of experienced Compliance Professionals and partners with senior leaders to ensure there is effective governance and controls that operate… more
- TD Bank (New York, NY)
- …who can provide you more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS US Compliance Monitoring & ... creation. + Monitor and communicate program effectiveness to stakeholders and senior management to ensure program viability and coverage integrity. + Communicate… more
- Wells Fargo (Lees Summit, MO)
- …relationships with medium to large and complex and/or high producing auto dealer accounts within the assigned market territory. Learn more about the career ... relationships with medium to large and complex and high producing auto dealer accounts within the assigned market territory and identify opportunity for process… more
- Robert Half Finance & Accounting (New York, NY)
- …recruiting for a US Head of Finance & Accounting role for a global Broker Dealer /Swap Dealer firm located in midtown Manhattan. Our client requires a CPA, Series ... Accounting and Finance experience within Prime Brokerage, Capital Markets or a Swap Dealer firm. The role reports directly into the Group CFO and oversees Financial… more
- SMBC (New York, NY)
- …- Audit Manager with a minimum of 8 years of experience in the broker dealer & financial industry to work within the Internal Audit Department. The Audit Manager ... credit complex etc.) * Effectively communicate with stakeholders and audit senior management to clearly articulate issues, root causes, and corrective measures.… 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
- Truist (Richmond, VA)
- …and developing solid relationships through ownership of a portfolio of national dealer accounts, serving as their trusted advisor and primary contact. 2. Drive ... new business opportunities for Service Finance 4. Ability to support National dealer account strategies through pricing and product offerings. 5. Analyze partner… more
- 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
- Polaris Industries (Plymouth, MN)
- …one-stop shop to success. **Job Summary** As Polaris Adventures continues to grow, the Senior Fleet Manager plays a pivotal role in leading the Fleet team in; ... Marketing, and Finance teams. In turn, able to balance Outfitter & Dealer needs with Polaris Adventures' core values, driving implementation and continuous… more
- SMBC (Jersey City, NJ)
- …this function will encompass SMBC Group's Americas Division, inclusive of US broker dealer and registered swap dealer ; SMBC Group's wholesale and retail banking ... US entities according to candidate's skills set (eg, broker dealer or lending). + Learn how to utilize newly...+ Assist in the presentation of CRA results to senior 1LOD and 2LOD management, including an overview of… more