- 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) ... more
- TD Bank (Fort Lauderdale, FL)
- …procedures, and training.** + **Experience responding to client complaints within a bank or broker -dealer.** + **Experience reviewing and providing guidance on ... more
- Umpqua Bank (Lake Oswego, OR)
- …service. + Other responsibilities as assigned. + Demonstrates compliance with all bank and broker /dealer regulations for assigned job function as applied ... more
- US Bank (Tempe, AZ)
- …asset value calculation. Prepares daily general ledger accounting, prime broker / bank cash reconciliations, advisor/portfolio management processing, corporate ... more
- Scotiabank (New York, NY)
- …banking, investment management, and corporate functions within investment or commercial bank or institutional broker -dealer is preferred. + Familiarity with ... more
- Santander US (Mashpee, MA)
- …goals as defined on a quarterly basis + Maintain compliance with all applicable bank , broker /dealer, State and Federal regulations associated with the sale of ... more
- Santander US (Freehold, NJ)
- …goals as defined on a quarterly basis. + Maintains compliance with all applicable bank , broker /dealer, State and Federal regulations associated with the sale of ... more
- Broadridge Financial Solutions (Edgewood, NY)
- …member of an operations team that provides corporate action support to over 130 bank / broker clients. + Execute mailings based on issuer requirement and custodial ... more
- Charles Schwab (Lone Tree, CO)
- …overall. + Assist in the development of methodologies for cash forecasting of both Bank and Broker /Dealer cash flows + Enter and approve wire transfer requests ... 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 ... 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 ... more
- Santander US (Boston, MA)
- …and stay current with competitive trends. + Maintain compliance with all applicable bank , broker /dealer, State and Federal regulations associated with the sale ... more
- Bank of America (Charlotte, NC)
- …Regulatory Reports across multiple entities including but not limited to BAC, BANA, BAC's Non- Bank Subsidiaries and the US Broker Dealer. GRR is seeking a ... more
- Truist (Charlotte, NC)
- …legal and regulatory advice relating to all ongoing activities of Truist Bank 's affiliated retail broker -dealer, registered investment adviser and insurance ... more
- SMBC (New York, NY)
- …outcomes to ensure completeness and sustainability. The position will primarily interface with Bank and Broker Dealer Operations with the incumbent acting as a ... more
- JPMorgan Chase (Jersey City, NJ)
- …in financial services industry + Exposure to capital planning (CCAR), broker -dealer and bank regulatory reporting, and Treasury/liquidity reporting processes ... more
- KeyBank (Brooklyn, OH)
- …(Spanish/English) + Associate's or Bachelor's degree in related discipline + Retail bank broker -dealer sales experience + Inbound or outbound phone sales ... more
- M&T Bank (Boston, MA)
- **Overview:** Responsible for contributing to and supporting the broker dealer compliance program for M&T Securities, Inc. Will help develop, maintain, and ... 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 ... more
- KeyBank (Brooklyn, OH)
- …Principal for a group of KIS registered representatives on behalf of the bank channel broker -dealer. The Central Supervision Principal is responsible for the ... more