- 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
- 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 (Burlington, VT)
- …more specific details for this role. **Job Description:** The Principal Review Analyst II is a FINRA and SEC regulatory supervisory principal position with the ... Client Wealth,(TDPCW), a US registered Investment Advisory Service and a US Broker Dealer and TD Wealth Management Services Inc.(TDWMSI), with a focus on new account… 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
- 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
- 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 ... law and regulations. + Responsible for maintenance of the Bank 's various tax policy and procedure manuals. **Qualifications:** 10+...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