- SMBC (Jersey City, NJ)
- …financial institutions. Based in New York City, we are an SEC registered Broker dealer that provides financial products and services to global institutional clients, ... and timely escalation of emerging risks/issues to relevant stakeholders and senior management **Core Competencies/Skills** + Control oriented with acuity for… more
- Commonwealth of Pennsylvania (PA)
- …offers on-the-job training where you will learn how to examine and audit broker -dealer firms and investment advisers to determine compliance with federal, state, and ... will have the opportunity to collaborate with your supervisor and/or assigned senior staff to develop examination schedules and to analyze examination and… more
- Broadridge Financial Solutions (New York, NY)
- …while helping others along the way, come join the Broadridge team. The Senior Technical Recruiter will play a critical role in building Broadridges technology ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- TD Bank (New York, NY)
- …Qualifications:** + 7 or more years of experience with a registered US broker dealer, regulator, or global financial organization. + JD desirable but not required ... must demonstrate the judgment and ability to closely partner with and advise senior and line managers and other stakeholders on regulatory interactions. + Strong… more
- Insight Global (Hunters Mill, NC)
- Job Description We are seeking a skilled Senior Trader to join our Capital Markets team. The ideal candidate will have a strong background in the secondary mortgage ... sales and MBS securitizations. - Develop and maintain relationships with investors, broker -dealers, and GSEs to ensure competitive pricing and execution. - Utilize… more
- Sigmatech, Inc. (Arlington, VA)
- …transition plans, supplemental information, and program execution. + Providing honest broker assessments of space programs approaching milestone decisions and of ... maintaining flexibility and versatility. + Experience working successfully with senior executives at multiple organizational levels. + Demonstrated proficiency with… more
- 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, legal, ... and/or existing regulatory reports + Provide presentations, information and/or recommendations to senior management as requested + Assist in the rollout of new… more
- Athene (West Des Moines, IA)
- …leadership, direction and functional expertise to ensure departmental results for the Independent Broker Dealer Channel in our East region. The DVP will direct and ... of managerial, supervisory, and/or demonstrated leadership experience including influencing senior management/critical stakeholders experience required. + State insurance license… more
- Wells Fargo (Charlotte, NC)
- …self, and empowered to grow **About this role:** Wells Fargo is seeking a Senior Specialty Software Engineer in Technology as part of Commercial and Corporate & ... order routing, RFQ, RFS, Quotations, and Trades from multiple trading venues and broker -dealers + 4+ years of Experience working with line of business partners, Line… more
- 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, ... Support incident management and collaborate closely with information security function and Senior Privacy Counsel, including advising on legal risk and data breach… more