- US Bank (Newport Beach, CA)
- … 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 Corporate Banking Relationship Manager, manages relationships with Corporate Banking … more
- TIAA (Charlotte, NC)
- …Branch Supervision and Principal Review organizations, supporting the growth of the business while protecting the broker- dealer and its associates by ensuring ... business objectives. **Key Responsibilities and Duties** + Ensures broker- dealer associate compliance with applicable regulations and firm policies. +… 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
- JPMorgan Chase (Tempe, AZ)
- This role will be responsible for ensuring the business is implementing, maintaining and sustaining a robust Anti Money Laundering (AML) and Know Your Customer (KYC) ... Teams, Compliance, Technology, Training, Communications, Legal, AML Operations and the Business . Team members are responsible to be knowledgeable of AML/KYC policies… 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
- Santander US (New York, NY)
- Supervisor, Audit - Corporate & Investment Banking New York, United States of America The primary function of the Supervisor, Audit is to execute complex audit ... (the New York Branch) and Santander Capital Markets (Broker Dealer ). They perform testing in a timely manner, ensuring...Risks space. + Develops a solid understanding of the business . + Examines business records and collects… more
- Santander US (New York, NY)
- Vice President - Americas Control Room Officer, Corporate & Investment Banking (CIB) New York, United States of America The Santander CIB (US) Control Room ... RL. + Act as a key advisor to the business as well as other colleagues on issues regarding...a US regulated financial institution, specific work experience with broker- dealer federal and state regulations related to insider trading… 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
- SMBC (New York, NY)
- … audit management. + Establishes and builds relationships with key IT and business stakeholders. + Performs staff development and people management activities. + ... processes in at least three of the following: commercial banking ; broker- dealer sales and trading; financial and...+ Establishes and builds relationships with key IT and business stakeholders. + Performs staff development and… more
- SMBC (New York, NY)
- …as a business analyst in front office * Solid knowledge of broker- dealer /investment banking environment, sales & trade flows and eTrading domain experience * ... history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more… more
- Allison Transmission (Indianapolis, IN)
- …and schedule status. Key Elements of the Position: In collaboration with the Business Development & Corporate Strategy Group and the Operations Functional Staff, ... integration, and operational activities reporting to the Managing Director Operations Business Development . + Leads cross functional teams performing operational… more
- SMBC (New York, NY)
- …to work with developers effectively, serving as a connection between business requirements and technical implementation. Previous software development background ... history, SMBC Group offers a diverse range of financial services, including banking , leasing, securities, credit cards, and consumer finance. The Group has more… more
- NBT Bank (Oneonta, NY)
- …full or temporary employment) + Strong desire and willingness to learn the banking business by rotating through the key functions performing the required ... Education and Experience: + Associate's degreein related field preferred in Business Administration, Operations or additional related degree) + Established work… more