- Broadridge Financial Solutions (New York, NY)
- …role responsible for providing all planning analytics and decision-support for the Bank Broker Dealer (BBD) and Broadridge Customer Communications (BRCC) ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Commerce Bank (St. Louis, MO)
- …registration or ability to obtain within 90 days of hire + Licensed to join a Bank Dealer and/or FINRA Broker Dealer required For this position, Commerce Bank ... And after more than 155 years, we know Commerce Bank is only at its best when our people...to maintain a valid driver's license and meet Commerce Bank 's driving record criteria; ongoing employment may be contingent… more
- SMBC (New York, NY)
- …Objectives** As Head of Compliance Infrastructure Advisory, you will: + Coordinate bank , broker -dealer, and swap dealer regulatory Compliance programs across ... + Participate in updates and reviews of compliance policies for bank , broker -dealer, and swap dealer regulations. + Design and deliver compliance training… more
- Broadridge Financial Solutions (New York, NY)
- …our clients get ahead of todays challenges to capitalize on whats next. Bank , Broker -Dealer (BBD) and Broadridge Customer Communications (BRCC) drives business ... transformation for its bank and broker -dealer clients, with communications, technology, data, and analytics that help them enrich shareholder engagement,… more
- Broadridge Financial Solutions (New York, NY)
- …while helping others along the way, come join the Broadridge team. Bank , Broker -Dealer (BBD) and Broadridge Customer Communications (BRCC) drives business ... transformation for its bank and broker -dealer clients, with communications, technology, data, and analytics that help them enrich shareholder engagement,… more
- Scotiabank (New York, NY)
- …banking, investment management, and corporate functions within investment or commercial bank or institutional broker -dealer is preferred. + Familiarity with ... Program covers US regulations applicable to all of Scotiabank's US broker -dealer (including internal inspections), banking, swap dealer, futures commission merchant,… more
- MUFG (New York, NY)
- …Individual at this level has some understanding of the firm's different businesses ( bank , broker -dealer and leasing) and the related economics. + Oversee tax ... US tax law and regulations. + Responsible for maintenance of the Bank 's various tax policy and procedure manuals. **Qualifications:** 10+ years' experience in… more
- Santander US (Peabody, MA)
- …goals as defined on a quarterly basis. + Maintains compliance with all applicable bank , broker /dealer, State and Federal regulations associated with the sale of ... + When appropriate, provides leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans. + Attends and actively… more
- Broadridge Financial Solutions (Tallahassee, FL)
- …role preferably in financial services industry + Previous experience in Commission processing in Bank , Broker , or Insurance Back Office a plus + Experience with ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Broadridge Financial Solutions (Edgewood, NY)
- …businesses in Broadridge (including the sweet of businesses and products under Broadridges Bank Broker Dealer). Additionally, you will aid in the preparation of ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- T. Rowe Price (Baltimore, MD)
- …+ Perform independent credit analysis and due diligence on new and existing bank and broker /dealer counterparties used for trade execution by the firm's ... global footprint + Experience analyzing financial statements of banks and broker -dealers to determine creditworthiness + Experience performing and overseeing due… more
- GMHC (New York, NY)
- …following: + 5+ years' experience in New York City property management with a bank of broker and landlord contacts is required. + Extensive knowledge utilizing ... other partners. + Responsible for processing monthly rental payments, security deposits, broker 's fees, rental arrears, and other payments as needed. + Manage and… more
- PNC (Cleveland, OH)
- …the Chief Compliance Officer for PNC Investments LLC ('PNCI") - a dually registered broker /dealer and investment advisory subsidiary of PNC Bank . This is a ... responsibility for the Compliance Program of one of the fastest growing bank -affiliated broker -dealers in the country. You will be responsible for helping PNCI… more
- Charles Schwab (Westlake, TX)
- …liquidity and funding planning across the corporation and its subsidiaries, including our bank and broker -dealers. We monitor and ensure adherence to regulatory ... institution + Demonstrated detailed knowledge of finance + Deep knowledge of broker / dealer liquidity requirements (series 27 preferred) + Deep knowledge of… more
- M&T Bank (Buffalo, NY)
- …and analyze protection opportunities in data loss prevention and cloud access security broker tools. M&T Bank is committed to fair, competitive, and ... Promote an environment that supports diversity and reflects the M&T Bank brand.. Maintain M&T internal control standards, including timely implementation of… more
- M&T Bank (Buffalo, NY)
- …and analyze protection opportunities in data loss prevention and cloud access security broker tools. M&T Bank is committed to fair, competitive, and ... + Promote an environment that supports diversity and reflects the M&T Bank brand. + Maintain M&T internal control standards, including timely implementation of… more
- Robert Half Finance & Accounting (San Francisco, CA)
- …packages. + Perform daily reconciliations of cash, trades, and securities against bank / broker statements. + Identify and resolve discrepancies with counterparts. ... + Support private investment valuation processes and maintain documentation. + Manage fund audits and assist with tax return processes. + Handle treasury functions, including cash management and wire setups. + Provide backup support for trade operations as… more
- JPMorgan Chase (New York, NY)
- …qualifications, capabilities, and skills** + Experience with a law firm, regulator, investment bank , broker , or market participant. + Masters' or Law degree. ... JPMorganChase, one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the JP Morgan and Chase… more
- Huntington National Bank (Columbus, OH)
- Description Job Title Broker -Dealer Accountant 3 Reporting to the Business Segment Controller, this position will play a vital role in the broker -dealer's ... that may impact accounting and net capital. + Become knowledgeable with clearing broker 's back office system and work with Operations Manager to promptly resolve any… more
- PNC (Raleigh, NC)
- …Enterprise BSA/AML & Sanctions organization in Independent Risk Management to support Broker Dealer. The incumbent will lead a team providing Independent BSA/AML ... Risk Management oversight and governance of our broker dealer business segments, which are inclusive of ...risk and providing subject matter expertise related to corresponding Bank Secrecy and Anti-Money Laundering Regulations. Prior core business… more