- BMO Financial Group (Hinsdale, IL)
- …meetings and office coverage. + Meets high-quality service standards to maximize relationship retention and growth. + Develops rapport and instills confidence with ... may be assigned as needed. **Qualifications:** + Must have obtained **The Securities Industry Essentials (SIE)** License + Typically between 2 - 3 years… more
- Capital One (Mclean, VA)
- Compliance Advisor Manager Corporate Compliance is seeking a Compliance Advisor Manager to perform a key risk management role in the second line of defense ... advising Capital One's Commercial Real Estate (CRE) Agency Financing and Corporate Banking lending businesses on applicable laws and regulations. Corporate Banking… more
- Citigroup (Jersey City, NJ)
- …or Asset Management industries, preferably in Custody, Fund Services, ETF Servicing, Transfer Agency , FX, Securities Lending or Middle Office areas. + Ability to ... services, including consumer banking and credit, corporate and investment banking, securities brokerage, transaction services, and wealth management. As a bank with… more
- MUFG (New York, NY)
- …the development of financing transaction marketing materials, including rating agency presentations, lender and investor presentations, and information memoranda. + ... is not subject to a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2) or 8a(3) of the Commodity… more
- TD Bank (Portsmouth, NH)
- …for each relationship + Accountable for referring Investment only clients to Relationship Manager to increase banking and lending product sales. + Records ... Investment Management team that partners with Trust Advisors & Relationship Managers to provide investment services to HNW clients....experience + Asset allocation and portfolio construction preferred + Securities Licensed: Series 7, 63 + 65 or 66… more
- Bank of America (Boston, MA)
- …solutions and provide liquidity for our customers. Specific product areas include: Agency Pass Through securities , Collateralized Mortgage Obligations (CMOs), ... Agency ARMS, Non- Agency RMBS and Whole Loans, Consumer ABS, Index, Mortgage...capabilities of BAML Global Investment Banking to clients + Relationship management, understanding and aligning client goals with BAML… more
- Fifth Third Bank, NA (Los Angeles, CA)
- …leader positioning the Asset Backed Finance business along with the senior Relationship Manager representing the institution and driving and creating ... activity including origination, structuring, and execution of large, complex loan and securities transactions. Perform all underwriting and work with Credit on all… more
- Huntington National Bank (Columbus, OH)
- …and throughout the organization's data and reporting platforms + Product Manager of Capital Markets customer relationship management system coordinating ... environment for Capital Markets business lines including Capstone Partners, Huntington Securities Inc., and the Huntington National Bank traded products. This… more
- MUFG (Tampa, FL)
- …and external parties including, but not limited to, Debt Capital Markets, Portfolio/ Relationship Management, Loan and Agency Services, Finance, Legal, Trade ... Financial Covenants for active Credit Agreements in individual's portfolio. Liaise with Relationship /Portfolio Manager for latency and any Covenant Breaches. +… more
- BMO Financial Group (NE)
- …and thoroughly complete appropriate required documentation + Utilize client relationship management system to track activities and contacts -Uncover referral ... -Resolve any client issue or concern quickly and effectively to retain the relationship and build future opportunities for growth; all formal complaints must be… more
- TD Bank (Greenville, SC)
- …keeping client information up to date + Retains a book of business through relationship management and periodic updates to client's financial plan as needed + Meets ... for TD Mass Affluent clients, without a local FA relationship , who have a Wealth need; service all aspects...and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered… more
- BMO Financial Group (Denver, CO)
- …+ Leads a deal team to meet client needs when acting as the lead relationship manager . + Manages the retention and expansion of client relationships through a ... conflicts of interest, safeguarding of customer information, trading in securities , anti-money laundering, privacy, and disclosure of outside business activities.… more
- BMO Financial Group (Winnetka, IL)
- …+ Leads a deal team to meet client needs when acting as the lead relationship manager . + Manages the retention and expansion of client relationships through a ... with an objective of becoming their trusted advisor. + Develops relationship with client's professional advisors in developing appropriate credit and tax-favourable… more
- Louisiana Department of State Civil Service (LA)
- …Savings and Loans, Credit Unions, Holding Companies, Trust Companies, Securities Firms, Licensed Lenders, Payday Lenders, Mortgage Companies, Pawnbrokers, ... Work: Entry. Supervision Received: Direct from a Compliance Examiner Assistant Manager , Compliance Examiner Manager , or other higher-level supervisor.… more
- TD Bank (Nanuet, NY)
- …central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their ... FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may not) be a registered position under FINRA. + Must be… more
- BMO Financial Group (New York, NY)
- …results. Primary products covered will be various mortgage and asset backed securities but may also include other fixed income asset classes. Additional ... with Python and other programming scripts skills a plus + Strong relationship management skills: ability to establish and manage multiple stakeholder relationships… more
- BMO Financial Group (New York, NY)
- …best execution/order handling, and Market Access. + Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact. ... is desirable, but not required. + Strong communication, critical thinking, relationship management and project management skills. + Deep knowledge and technical… more
- MUFG (Irving, TX)
- …recruitment team will provide more details. **Job Summary:** Reporting into the Manager of Public-Private Partnerships (PPPs), which is part of FCC Investigations ... least 3-6 years of experience in a Bank, government agency or law enforcement agency in a...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
- Huntington National Bank (Winston Salem, NC)
- Description Summary: The Private Bank Wealth Advisor III is the primary client relationship manager in the Huntington Private Bank responsible for developing, ... of hire + At least 5 years of wealth management/financial advisory/sales/ relationship management experience in banking, investment management, or insurance products… more
- MUFG (Chicago, IL)
- …for covered portfolio accounts utilizing internal / external sources + Attend Relationship Manager ("RM") customer meetings when appropriate. + Evaluate and ... clients' risk and credit profiles), accounting firm or rating agency + Completion of formal credit-training program at a...a statutory disqualification pursuant to Section 3(a)(39) of the Securities and Exchange Act of 1934 or Section 8a(2)… more
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