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Conduct compliance audits and risk assessments. This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team. Broker Dealer and Advisory compliance experience.

At least 7-10 years of Swap Dealer Compliance experience.

This key hire will play a strategic role in running the day-to-day compliance program as the firm continues to build an industry leading team.The ideal candidate will have:.Broker Dealer and Advisory compliance experience.Strong knowledge of SEC, FINRA, and other regulations.SEC Investment Adviso...

President and is responsible for overseeing the management of the broker dealer's compliance risk and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwriting, Risk Management, Compliance, IT Risk and Trainingcommitt...

Ensure Dealer Relations Managers are held accountable for their productivity and professional growth, providing regular feedback and support for their development. What Makes an Exceptional Director, Dealer Relations:. Through our proprietary automated sales and marketing platform, Mastermind, we...

SMBC's Compliance Department Americas Division is seeking a VP of Swap Dealer Compliance Monitoring & Testing (M&T). This role will have coverage for SMBC's Swap Dealer operations.

Our national Dealer Relations team is responsible for supporting our customers and developing key relationships to drive dealer engagement, utilization, and growth with Mastermind. Reporting to the Chief Revenue Officer, the National Vice President, Dealer Relations plays an integral role in driv...

Collaborating with vendors and internal/external stakeholders at all levels PMs, BAs, Architects, IT Security Risk, IT Infrastructure, Testers, Application Managers/Senior Execs, etc.

Please feel free to contact us at leaveofabsence@dealertire. Train Tire Manufacturers and dealership staff on the operations, incentives, communications, reports, online tools, and all other elements of the Tire Program. Direct dealership visits (with Tire Manufacturer personnel and Head Office f...

The role of the Dealer Development Consultant is to assist with the development and implementation of OEM Tire Program strategy and marketing communications. Serve as the Tire Program liaison between Head Office, Dealers, Tire Manufacturers and other key stakeholders. Direct dealership visits (wi...

Lead business development for a new platform business, Alts Bridge, developed by BNY and focusing on delivering the platform into RIAs and independent broker dealers. Growth Ventures - Alts Bridge RIA/Broker Dealer Business Development Lead (Senior Director). We're seeking a software and platform...

Reporting to the Chief Revenue Officer, the National Vice President, Dealer Relations plays an integral role in driving the ongoing engagement, success, retention, and growth of Mastermind's dealer partners. Our national Dealer Relations team is responsible for supporting our customers and develo...

Minimum of 5 years’ experience at a US Broker Dealer as a business analyst. A good knowledge of the Operational processes required to support an American Broker Dealer’s middle and back-office broker.

ADA Disclosure: Any candidate who feels that they may need an accommodation to complete this application, or any portions of same, based on the impact of a disability should contact Dealer Tire's Human Resources Department to discuss your specific needs. Please feel free to contact us at ADAAAcco...

Self-Clearing Broker-Dealer in Finance and Accounting functions. Broker-Dealer FINOP (Series 27 Required). As FINOP, you will be responsible for the regulatory financial reporting and compliance for the Company’s Broker-Dealer.

Specifically, the role is responsible for advising on compliance risk management activities for Citi's swap dealer entities with a focus on Swap Data Reporting (Trade Reporting), Margin, and other primarily operational rulesets, which involve multiple business lines and functions, globally, in re...

Lead business development for a new platform business, Alts Bridge, developed by BNY and focusing on delivering the platform into RIAs and independent broker dealers. Experience in the wealth segment, particularly with RIAs and independent broker dealers, is a must. Growth Ventures – Alts Bridge ...

Experience as a margin supervisor or equivalent at a top financial services firm that provides trade, clearing, and custody services to correspondent or introducing broker-dealers.

Minimum of 5 years experience at a US Broker Dealer as a business analyst. A good knowledge of the Operational processes required to support an American Broker Dealers middle and back-office broker.

Knowledge of the problems in a clinic or unit dealing with public health and welfare. * Knowledge of the precautions to be taken in the use of narcotics, other medication, and other treatments

Employ critical thinking and judgment when dealing with unplanned issues * Comply with all orientation requirements, annual and other mandatory trainings, organizational and departmental policies and ...

... Dealing with performance problems and terminations. • Conducting timely performance evaluations. • Understanding of client and HCL policies, processes, and procedures. • Participate in the ...

Must demonstrate a professional, courteous, and respectful attitude in dealing with patients, immediate supervisor, and other employees. * Practice accepted infection control measures in accordance ...

Seeking a confident and polished physician in a high-end NYC cosmetic medical-surgical practice dealing with vein problems. Experience NOT necessary, we will train. What's Offered: Full-time work, no ...