- Sun Pharmaceuticals, Inc (Princeton, NJ)
- …is a key responsibility._ + Support development of Commercial/Supply, Quality, PV and Broker agreements for existing and New House Label and Private Label customers ... fashion 1. **Reporting and Analytics/ SAP / VISTEX OTC Team Lead:** + Review Broker commissions provided by Finance and ensure the payments are valid and match… more
- SMBC (New York, NY)
- …as business is conducted and transactions are executed. **Role Objectives** The Broker Dealer Regulatory Governance Advisory Team within the CPAD Advisory Function ... compliance support across the Advisory Function with respect to broker -dealer-applicable regulatory engagements, support function coordination, governance and reporting.… more
- PLACE (Freehold, NJ)
- …The Merritt Real Estate Group at Keller Williams, powered by PLACE-a broker -agnostic business services and technology platform transforming the industry for top ... agents and their customers. Join us and gain access to in-house marketing and design services, daily live professional development opportunities, superior technology that eliminates up to 75% of daily tasks, and much more. At The Merritt Real Estate Group,… more
- SMBC (New York, NY)
- …solutions to clients within the following industry sectors: Banks and Broker Dealers, Regulated and Alternative Investment Managers and Funds, Insurance Companies ... within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new business… more
- MODE GLOBAL (Chalfont, PA)
- …tasks, from tactical to strategic MODE Global is the 5th largest truckload broker and largest non-asset intermodal provider in North America. With over 200 ... agents/offices distributed from coast to coast, MODE Global operates under a family of businesses and brands, delivering as a premier full-service solutions provider to the logistics industry. At MODE, we're dedicated to providing our employees with a working… more
- DWS Group (New York, NY)
- …requirements and internal controls. Collaborate and build relationships with broker -dealer counterparties, issuers and other key industry stakeholders. Negotiate and ... execute trades with broker -dealers through low-touch and high-touch channels. Contribute to the enhancement of existing trading processes and utilize technologies to… more
- HSBC (New York, NY)
- …Direct and navigate the liquidity teams covering entities in the US (Bank and Broker Dealer), Mexico, Chile and Brazil. You will have responsibility for setting the ... topics, including specific liquidity experience and a solid understanding of Broker Dealer activity + Experience of directing, engaging, motivating and leading… more
- HSBC (New York, NY)
- …Ideal candidates should have a strong knowledge of US securities laws, FINRA broker -dealer rules, and CFTC rules and regulations. A knowledge of regulations relating ... firm's risk + Leverage your experience by working at a US regulated broker -dealer, futures commission merchant, bank, and bank holding company, which are critical… more
- Neuberger Berman (New York, NY)
- …ensure the highest standards of supervision and governance for RIA and Broker Dealer platforms and advisory/sales activities + Oversee the implementation of ... leading high-performing teams + Deep understanding of RIA and Broker Dealer supervisory frameworks, advisory/sales practices, and relevant regulatory requirements… more
- The Clorox Company (New York, NY)
- …and collaborate with Clorox teammates and business partners, to include broker representatives and distribution representatives in order to maximize sales ... opportunities in the territory + Drive inclusion and diversity of experience, gender, ethnicity and thought both internally within the organization and with key external customers and stakeholders **What we look for:** + 3 + yrs of relevant customer sales… more
- SMBC (New York, NY)
- …President - Audit Manager with a minimum of 8 years of experience in the broker dealer & financial industry to work within the Internal Audit Department. The Audit ... experience in the banking and financial industry, auditing capital markets and broker dealer's trading businesses. - Strong trading risk knowledge of products… more
- SMBC (New York, NY)
- …across CUSO Market Risk and other risk stripes under the Swap-Dealer and Broker -Dealer legal entity CRO umbrella. - Track and manage regulatory, audit, and ... reporting approaches). - Understand regulatory requirements applicable to Swap-Dealer, Broker -Dealer, and Bank entities. **Communication and Leadership:** - Exhibit… more
- Kerry (New York, NY)
- …Chain Manager). + Lead execution of initiatives and trainings with sales broker (CORE) by leveraging strategic relationships with Market Directors, managing critical ... monthly KPI's and fostering collaboration with Territory Managers. + Oversee account planning, call planning, pipeline development, opportunity development and sales lifecycle for all personnel in assigned region. + Development and mentorship support for all… more
- Neuberger Berman (New York, NY)
- …open swaps, cash). + Review and process daily cash wires across multiple broker and custodian relationships. + Research and resolve books & records exceptions. + ... Monitor Treasury and Collateral Management exposures. + Investigate and resolve issues arising from P&L reporting. + Maintain counterparty metrics, costs, and financing rates. + Assist management with system automation projects (STP), efficiency initiatives,… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker -dealer or investment adviser + Proactive, self-motivated, and highly organized + ... Strong interpersonal, oral, and written communication skills + Understanding of FINRA, SEC, and state registration/licensing requirements + Excellent computer skills (Excel, Microsoft Office Suite, Workday) + Skilled at managing multiple deadlines and… more
- SMBC (New York, NY)
- …of applicable regulatory standards / guidance for a Bank Holding Company / Broker Dealers including Reg YY Liquidity requirements - Familiarity with Market Risk a ... plus - Understanding of audit techniques, internal controls, and workpaper standards. - Excellent communication, presentation and professional skills including the ability to interact effectively at all levels within the organization. - Bachelor's Degree in… more
- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk...and effectively transfer price for liquidity. + Develop Canadian broker dealer and enhance US broker dealer… more
- CIBC (New York, NY)
- …**What you'll be doing** In the capacity of the US Broker Dealer Treasurer, this role will oversee funding, capital and liquidity ... activities in the US Broker Dealer and support strategic initiatives by developing effective...initiatives by developing effective Treasury practices tailored to the Broker Dealer. _At CIBC we enable the work environment… more
- AON (New York, NY)
- Senior Private Equity Broker , Middle Market As part of an industry-leading team, you will help empower results for our clients by delivering innovative and effective ... solutions supporting commercial risk. As a Private Equity Broker you will report directly to the Private Equity...clients succeed. What the day will look like The Broker is responsible for the management of a sophisticated… more
- Coinbase (Trenton, NJ)
- …seeking a highly-skilled Senior Associate to be a key member of our Broker Dealer Operations team, responsible for the integrity, efficiency, and optimization of our ... a meticulous, hands-on operator who is passionate about applying their deep broker -dealer knowledge to build scalable processes at the intersection of traditional… more
