- WSFS Bank (Philadelphia, PA)
- …business by 1) successfully marketing the company by making outbound business development calls to establish and grow dealer prospects and 2) increase ... Credit in a cross-functional role to facilitate the approval process for onboarding dealer customersCollaborate with Senior Business Development Managers and… more
- EY (Boston, MA)
- …CFTC, FINRA, NFA OCC and other regulatory requirements for retail and institutional broker- dealer , capital markets, banking , swap dealer trading, investment ... Ernst & Young US LLP, Boston, MA. Assist clients in transforming their business models to address their most complex regulatory reporting needs and technology… more
- EY (Charlotte, NC)
- …professional knowledge. Maintain long-term client relationships and networks. Cultivate business development opportunities.Full time employment, Monday - Friday, ... FINRA, NFA OCC and other regulatory requirements for retail and institutional broker dealer compliance, capital markets, banking , swap dealer trading,… more
- US Bank (Newport Beach, CA)
- …management experience **Preferred Skills/Experience** - Strong relationship management and business development /sales skills - Well-developed analytical and ... prospecting and developing new relationships in this industry. The Commercial Banking Relationship Manager manages relationships with Commercial Banking … more
- Truist (Miami, FL)
- …* Ten (10) or more years of experience in Middle Market, Mid-Corporate, or Dealer Banking * Prior experience in Debt Capital Markets and/or Corporate Finance ... and holistic product ownership for the overall performance for Dealer Commercial business in their assigned markets...client planning, sales meetings, call planning, joint calling with Dealer Bankers and development and delivery of… more
- Federal Reserve System (Dallas, TX)
- …is responsible for overseeing regulatory compliance with the supervised firm's core business lines, with focus on broker/ dealer and advisory services activities. ... risk management and controls, and financial performance of the broker/ dealer and advisory services business line. You...as a subject matter expert on the team for broker/ dealer and advisor activities, participate in the development… more
- Scotiabank (New York, NY)
- … Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, ... the Scotiabank Group. Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to… more
- JPMorgan Chase (Chicago, IL)
- …of keeping JPMorgan Chase strong and resilient. You help the firm grow its business in a responsible way by anticipating new and emerging risks, and using your ... and striving to be best-in-class. As a Risk Management Dealer Commercial Services - Vice President in Dealer...understand the risk appetite, guide decisions, manage and influence business priorities, and oversee the ongoing production of the… more
- SMBC (New York, NY)
- …history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more ... SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the...Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). The VP is… more
- Capital One (Mclean, VA)
- Center 2 (19050), United States of America, McLean, Virginia Commercial Broker Dealer Compliance Advisor - Senior Manager The Compliance Advisor Senior Manager will ... report directly to the Commercial Broker Dealer Chief Compliance Officer. This role will support three...and provide compliance support the Capital Markets line of business , a division within the Commercial Bank of Capital… more
- PNC (Pittsburgh, PA)
- …impact on matters such as marketing materials, sales programs, product development , documentation review and other business initiatives. Works cooperatively ... OTC Derivatives Market is required. . Previous experience working for a Swap Dealer , Clearing House, Swap Data Repository, Swap Execution Facility, and other OTC… more
- Comerica (Auburn Hills, MI)
- … Dealer Services The Relationship Manager role will be responsible for new business development , portfolio management and underwriting to support the needs of ... Position Responsibilities: * Increase the Bank's profitability by cultivating new business relationships. * Maintain and develop customer relationships, new … more
- Atria Wealth Solutions (Charlotte, NC)
- …Group, Retail Banking , Business Services, Insurance, Mortgage Lending, Business Development ) + Maintain ongoing relationships with members including no ... Federal Credit Union is seeking a Licensed Investment and Banking Advisor to join their team in the Charlotte...and service providers: Retail, Allegacy Investment Group, and Allegacy Business Services and work to leverage them to benefit… more
- Truist (Charlotte, NC)
- …to the assigned business unit regarding its control environment. 4. Support the business in the development of Key Performance Indicators (KPIs) and Key Risk ... proactively identifying, mitigating, and managing risks within Corporate and Investment Banking - Investment Banking Coverage, Capital Markets Origination and… more
- SMBC (New York, NY)
- …possessing outstanding verbal and written communication skills + 8+ years managing Investment Banking , Broker- Dealer or Swap Dealer Client Onboarding, Client ... history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more… more
- Scotiabank (New York, NY)
- … Banking and Markets (GBM) is a leading Canadian Capital Markets and Investment Banking business with a growing platform in the US and Latin America, ... the Scotiabank Group. Be part of an innovative, Global Capital Markets and Investment Banking business with a unique geographic footprint that puts capital to… more
- JPMorgan Chase (Pittsburgh, PA)
- …market share, achieve volume goals and meet revenue targets while driving dealer satisfaction through delivery of contractual and customer service commitments. This ... role also requires strong internal partner engagement with Dealer Commercial Services, Pricing, Finance, Marketing, Data & Analytics, Product, Servicing &… more
- SMBC (Jersey City, NJ)
- …history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more ... SMBC Group, which is one of the three largest banking groups in Japan. SMFG's shares trade on the...Ltd. **Role Description** SMBC Capital Markets, Inc, a swap dealer registered with CFTC, is seeking a highly skilled… more
- Allison Transmission (Indianapolis, IN)
- …the commercial vehicle industry while supporting our Strategic Insights and Corporate/ Business Development Teams. This role incorporates researching the ... banker contacts, and archive banker materials. + Supports Allison Corporate and Business Development activities with research, analysis, and insights around… more
- CIBC (New York, NY)
- …and effectiveness of business controls established to ensure adherence with US broker- dealer and US swap dealer requirements and compliance with federal and ... CIBC.com (https://www.cibc.com/en/about-cibc.html) JOB PURPOSE Compliance Examination Manager for Capital Markets/Broker- Dealer /Swap Dealer Reporting to the Head of… more
