- M&T Bank (Buffalo, NY)
- **Overview:** Serves as a member of the Management Development Program (MDP) and participates in ten weeks of Core Training and one year of On-the-Job (OJT) ... Complete other related duties as assigned. **Scope of Responsibilities:** The Management Development Program is a non-rotational, one-year training … more
- CIBC (NY)
- …and position reporting reviews, and analytical functions to support CIBC's Global Swap Dealer Compliance program . The Global Swap Dealer Compliance Officer ... a paid day off dedicated for you to use to invest in your growth and development . *Subject to plan and program terms and conditions **What you need to know**… more
- Scotiabank (New York, NY)
- …ensuring effective management of matters related to Scotiabank's CFTC Swap Dealer , SEC Security-Based Swap Dealer , and Futures regulations. The role involves ... Manager, Regulatory Obligation & Risk Assessment, Swap Dealer and Derivatives Compliance **Requisition ID:** 220782 **Salary...a full range of investment banking, credit and risk management products and services relevant to the financing and… more
- US Bank (New York, NY)
- …attributes they bring to the group. Meaningful collaboration and investment in the development of the Law Division are all expected from successful candidates. The ... Capital Markets Legal Team to support the US Bank provisionally-registered swap dealer . This attorney will provide transactional and regulatory legal advice to the… more
- The Raymond Corporation (Greene, NY)
- …and grow with us. About the position: We are seeking a motivated and proactive Dealer Success Specialist to join our team. This individual will play a critical role ... in driving the success of our dealer network (also referred to as our Solutions and...guidance on best practices in digital marketing and lead management . The ideal candidate will be comfortable working with… more
- Broadridge Financial Solutions (New York, NY)
- …for providing all planning analytics and decision-support for the Bank Broker Dealer (BBD) and Broadridge Customer Communications (BRCC) Businesses. This role leads ... strategies. He/She will be responsible for setting expectations for management and delivering timely financial information including results, forecasting and… more
- CIBC (New York, NY)
- …to the Swap Dealer Chief Compliance Officer, the Director, RCM Portfolio Management is responsible for providing support to Swap Dealer Compliance ("SDC") to ... materials, job aids and other communications for the RCM Program . + Support the Swap Dealer Chief...you to use to invest in your growth and development . *Subject to plan and program terms… more
- Canon USA & Affiliates (Melville, NY)
- …are responsible for dealer wholesale solutions, sales channel account management , territory management , marketing program implementation, and education ... intent of increasing Canon-branded and third-party software solutions sales - Dealer /account relationship management - Deliver revenue achievement and revenue… more
- Mizuho Corporate Bank (New York, NY)
- …The candidate will be a member of a team responsible for liquidity management , monitoring, and assumption development within Capital Markets Treasury. Capital ... Treasury Director, Liquidity Management Summary Mizuho Capital Markets Treasury is seeking...Markets Treasury includes a broker dealer , swap dealer , derivative dealer ,… more
- Scotiabank (New York, NY)
- …US broker- dealer (including internal inspections), banking, swap dealer , futures commission merchant, investment management activities, corporate ... institutional trading & sales, investment banking, futures commission merchant, swap dealer activities, commercial banking, investment management , and corporate… more
- TD Bank (New York, NY)
- …documentation in support of the team (eg, policies and procedures, etc.), leading development of the team's SharePoint library, management of relevant Issues to ... Branch Inspections, Risk Assessment, Regulatory Exams, etc.). **Depth & Scope:** **Issues Management and Program Reporting** + Facilitate the TD Securities US… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... 1869. **Business Context** TD Securities (TDS) is a top-two dealer in Canada with a growing US business and...and Commodities businesses. The team is responsible for the development and support of the e-trading suite of applications… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... + Oversee the registration requirements for four broker-dealers, the swap dealer , and the security-based swap dealer . + Manage registrations… more
- GROWMARK, Inc. (Hall, NY)
- …$50K - $150K * _PURPOSE AND SUMMARY STATEMENT_* Assists with the development and implementation of marketing plans, generating profitability and maximizing organic ... Batavia area.. * _SUPERVISION AND LEADERSHIP_* Supervises, leads and develops the dealer network to successfully grow the company's business by providing leadership,… more
- Mizuho Corporate Bank (New York, NY)
- …business decisions. This will improve decisions related to funding, liquidity management , and business support within Capital Markets Treasury. Capital Markets ... Treasury includes a broker dealer , swap dealer , derivative dealer ,...markets, cash flow forecasting, funds transfer pricing, and asset/liability management . This role will be a subject matter expert… more
- TD Bank (New York, NY)
- … and implementation of Compliance programs + Guides partner through the development , implementation, oversight and management of effective Compliance Programs + ... issues + Conducts internal and external research projects; supports the development /delivery of presentations/communications to management or broader audience +… more
- US Bank (New York, NY)
- …they bring to the group. Meaningful collaboration and investment in the development of the Law Division are expected from successful candidates. **Responsibilities** ... parties - Advise business units and other support partners (Compliance, Risk Management , etc.) regarding securities laws and regulations, SEC/FINRA Rules and related… more
- SMBC (New York, NY)
- …and sustainability. The position will primarily interface with Bank and Broker Dealer Operations with the incumbent acting as a key contributor in support ... change. The role will manage end-to-end delivery for large-scale transformation program or portfolio of transformation and remediation programs. **Role Objectives:… more
- BMO Financial Group (New York, NY)
- …Income Compliance team in New York with a focus on FINRA and SEC broker- dealer requirements and corresponding oversight. We are looking for someone to work closely ... implementation, maintenance and administration of the Fixed Income compliance program . Coordinate and performs risk assessment, monitoring, testing and surveillance… more
- The Raymond Corporation (Greene, NY)
- …contact with various levels of RAMI and S&SC management including the Dealer Principal, to gain program support. Assists in business planning/forecasting, ... trade shows. * Develops and executes a detailed Power Development Business Plan for the given accounts and territory....Marketing, Leasing, Rental, Used, and Renewed teams to achieve Dealer of Distinction Power criteria. * Assists field in… more