- Broadridge Financial Solutions (New York, NY)
- …your career, while helping others along the way, come join the Broadridge team. The Bank Broker Dealer Head of Strategy and Business Development is a key member ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- M&T Bank (Baltimore, MD)
- …Manage the first line of defense risk management responsibilities of the Investment Bank and Institutional Broker -Dealer in accordance with the Enterprise Risk ... team on risk and control topics impacting the Institutional Broker -Dealer, Corporate Securities Underwriting, and Syndications/ Participations. **Primary Responsibilities:**… more
- JPMorgan Chase (New York, NY)
- …motivated individual to join its Equities Practice Group within the Corporate & Investment Bank as a Broker -Dealer & Cash Equities Attorney. As a Broker ... You will report directly to the Head of the Broker -Dealer & Cash Equities Legal group. The Legal Department...to hear from you. Job Responsibilities: + Advise the broker -dealer cash equities business managers and registered representatives on… more
- TD Bank (Fort Lauderdale, FL)
- …business writing abilities.** + **Experience responding to client complaints within a bank or broker -dealer.** + **Experience reviewing and providing guidance on ... advertising and marketing materials for a broker -dealer/ bank .** + **Prior testing, audit or business operations experience in areas involving regulatory… more
- Bank of America (Charlotte, NC)
- …**Preferred Qualifications** + Recent experience in a similar role in a top tier bank / broker -dealer or product development role in a large broker ... years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/GMO-Market-Solutions-Lead Sr-Operations-Team-Lead\_25009935) **Job Description:** At Bank of America, we are guided by a common… more
- Capital One (New York, NY)
- …Strong risk management mindset with working knowledge of regulatory requirements relevant to the bank 's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) ... Head of Product, Commercial Bank Capital Markets **Capital Markets | Head of...is a high growth business within Capital One's commercial bank serving corporate and institutional clients across multiple business… more
- TD Bank (New York, NY)
- … (GSIB), or the equivalent experience at a regulatory body (eg, leading a bank or broker /dealer exam team). + Surveillance experience at Financial Market ... equity research franchise, while growing our strong, diversified investment bank . We are growth-oriented, people-focused, and community-minded. As a team,… more
- Umpqua Bank (Eugene, OR)
- …service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker /dealer regulations for assigned job function as applied ... or exceed assigned production goals. + Maintain effective relationships with all Bank personnel in assigned branches by holding meetings and trainings, answering… more
- Bank of America (Charlotte, NC)
- …us! **RESPONSIBILITIES** **:** + Conduct cash and liquidity forecasting for the US Bank , Parent Company, and Broker -dealers to manage daily cash positions and ... Assistant Vice President; Bank Funding Trader Charlotte, North Carolina **To proceed with your application, you must be at least 18 years of age.** Acknowledge Refer… more
- US Bank (Milwaukee, WI)
- …asset value calculation. Prepares daily general ledger accounting, prime broker / bank cash reconciliations, advisor/portfolio management processing, corporate ... At US Bank , we're on a journey to do our best....is unique in their potential. A career with US Bank gives you a wide, ever-growing range of opportunities to… more