- Truist (Dallas, TX)
- …suite of advisory based solutions and capabilities to client and prospect relationships. The Dealer Banker II should be knowledgeable and proficient with ... size and complexity of dealer clients in a consolidating sector. The Dealer Banker II should be differentiated based on years of banking experience,… more
- Principal Financial Group (Des Moines, IA)
- **What You'll Do** We're looking for a Broker Dealer Trader II to join our Broker Dealer Services team. In this role, you'll provide prompt, courteous and ... You Stand Out** + 2+ years of prior Broker Dealer experience preferred + FINRA Series 53 & 4...vacation, personal or short-term illness. Employees don't accrue a bank of time off under FTO and there is… more
- Huntington National Bank (Columbus, OH)
- Description Summary: The Huntington Securities, Inc. (HSI) Broker Dealer Operations Analyst II is responsible for supporting institutional broker dealer ... dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you may… more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** The Private Client Relationship Manager II (RM) is a high-touch point of client contact accountable to serve the ... high net worth segment. The Private Client Relationship Manager II will serve as the central point of contact...of the portfolio, while ensuring minimum credit risk for Bank funds. **Depth & Scope:** + Demonstrates a commitment… more
- TD Bank (Greenville, SC)
- …& Fraud Mgmt **Job Description:** As a People Manager, the Team Manager II , Fraud Operations provides day-to-day team leadership and work direction to ensure ... are complete and accurate to meet targets for own area + Maximizes dealer related recoveries on misrepresentations and identity theft and in the efforts to… more
- TD Bank (Marlton, NJ)
- …all legal and regulatory requirements and guidelines associated with FINRA, SEC and TD Bank + Ensures only approved products and services are sold to HNW clients in ... environment **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or… more
- SMBC (Jersey City, NJ)
- …**Role Description** SMBC Nikko Securities America, Inc, a registered broker dealer , provides investment securities and other financial services to corporate and ... reviewer of quarterly Head Office reporting package. Respond to requests/questions from Bank 's Controllers regarding HO package. + Act as the primary reviewer of… more
- Scotiabank (New York, NY)
- … businesses. + Experience leading risk assessments processes. + Familiarity with US bank and broker dealer laws, rules, and regulations applicable to non-US ... Management in (i) implementing and enforcing CRCA related policies and procedures; ( ii ) supporting business and corporate function units in executing the CRCA as… more
- Percepta (Melbourne, FL)
- …ACOM will assist the COM in leading the team to deliver exceptional Client and Dealer support. In the absence of the COM, the ACOM will assume responsibility for the ... **.** **Handle supervisor calls while** delivering superior customer and dealer satisfaction. **.** Monitor calls for quality assurance +...in a preferred CRC role (Tier I TL, Tier II CSM, or Tier III Specialist) * Previous experience… more
- MUFG (New York, NY)
- …to facilitate the testing of controls **Qualifications:** + As part of the Bank 's Operational Risk Management team, this position requires a general knowledge of and ... to the current regulatory environment; understanding and adherence to the Bank 's operational risk framework; knowledge and application of operational risk management… more
- MUFG (New York, NY)
- …consulting activities designed to evaluate and assess the effectiveness of the Bank 's governance, risk management and control processes. This role includes, but is ... including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap ...laws (including (i) the San Francisco Fair Chance Ordinance, ( ii ) the City of Los Angeles' Fair Chance Initiative… more
- Comerica (Detroit, MI)
- …Life Sciences, Equity Fund Services, Environmental Services, International, National Dealer Services, Commercial Real Estate, Entertainment, as well as Large ... factors * Determine appropriate debt structures to meet customer needs Phase II : Finance Training The finance training portion of the program includes coursework… more