- AON (New York, NY)
- …clients by delivering innovative and effective solutions supporting commercial risk. As a Broker III you will report directly to the Chief Broking Officer. ... by delivering innovative and effective solutions supporting commercial risk. As a Broker III you will report directly to the Chief Broking Officer. This is… 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...of Los Angeles' Fair Chance Initiative for Hiring Ordinance, ( iii ) the Los Angeles County Fair Chance Ordinance, and… more
- Philadelphia Insurance Companies (New York, NY)
- …book of business + Identify, qualify and appoint new key production broker and wholesaler operations for specialty marine appointments - especially in territories ... with minimal current writings + Make use of current TMA technology to process your work. Update skills as necessary, including but not limited to Excel programs, Word and PowerPoint + Responsible for complying with proper internal controls as necessary to… more
- Zurich NA (New York, NY)
- …is seeking an experienced Senior Energy Oil, Gas & Power Gen Underwriter, (Senior Level III or AVP Level IV) to join our National Accounts team in Zurich'sNew York ... will be filled at either the SeniorEnergy Oil ,Gas & Power Gen Underwriter(Level III ) or AVP,Energy Oil, Gas & Power Gen Underwriter(Level IV). The hiring manager… more
- Zurich NA (New York, NY)
- …is seeking a Hull & Marine Liability Underwriter (Mid Level II or Sr. Level III ) for our Specialities Ocean Marine Department to work out ofour office in New York ... with the organization's appetite, balanced with sound business opportunity. + Make broker /customer and on-sight calls with a planned and well-prepared purpose. This… more
- Wells Fargo (New York, NY)
- …and Investment Banking (CIB) Compliance team and requires deep expertise in broker -dealer regulations and lending compliance. **In this role, you will:** + Serve ... in FINRA, SEC, FRB, and OCC regulations related to broker -dealer and ABS activities. + Familiarity with traditional lending...Securities Exchange Act of 1934 and FINRA Bylaws, Article III , Section 3, which states that Associated Persons should… more
- MUFG (New York, NY)
- …and other Control personnel to determine MSIIs / audit points. Assist the broker dealer entity in correctly Identifying the overall issue owner, deliverables and ... Assist in identifying data risks in RCSAs across the broker dealer entity (adhoc risk / controls reviews, group...of Los Angeles' Fair Chance Initiative for Hiring Ordinance, ( iii ) the Los Angeles County Fair Chance Ordinance, and… more
- MUFG (New York, NY)
- …as the technical bridge between operations and the technology that powers our broker dealer settlement engine. This role requires deep expertise in trade flows, ... related field. * 8+ years of progressive experience in broker dealer back office, financial technology, or equivalent financial...of Los Angeles' Fair Chance Initiative for Hiring Ordinance, ( iii ) the Los Angeles County Fair Chance Ordinance, and… more
- MUFG (New York, NY)
- …including trade settlement and trade flow. Proven experience working within a Broker /Dealer environment. + **Product Knowledge:** Expertise with a broad range of ... the financial services industry, preferably in a relevant role within a Broker /Dealer or similar organization. + Demonstrated ability to effectively manage and… more
- MUFG (New York, NY)
- …and documentation submission required by the regulatory bodies for the broker -dealer's onboarding process + Assist with system configuration, setup, and testing ... a similar business analyst or market operations role, preferably within a broker -dealer or financial institution + Thorough understanding of financial markets, and… more
- MUFG (New York, NY)
- …counterparty credit analysis on a range of counterparty types: banks, broker dealers, clearing houses, insurance companies, REITs, Mortgage originators and servicer ... Experience writing credit reviews on Mortgage Originators, REITS, servicers, banks, broker dealers and related FIG counterparty types. + Interpersonal skills:… more
- Mizuho Corporate Bank (New York, NY)
- …risk capital calculations for all Mizuho Americas businesses and products (banking, broker -dealer and derivatives trading) under Basel III + Conduct quantitative ... analyses to explain variation in the risk capital under US and Japanese Basel approaches + Prepare and distribute risk capital reports, including rigorous data validation and effective commentary + Review, monitor, and manage risk capital budgets + Establish,… more
- MUFG (New York, NY)
- …Management with demonstrated familiarity including Sales and Trading; and familiarity with Broker - Dealer and applicable regulations, such as DFA Swap Dealer, ... (ii) the City of Los Angeles' Fair Chance Initiative for Hiring Ordinance, ( iii ) the Los Angeles County Fair Chance Ordinance, and (iv) the California Fair… more