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TOP 5 Independent Broker Dealer (Financial Advisor Magazine and Investment News) * Wealth Management: $281 billion retail investment client assets held or managed by Northwestern Mutual * Recipient ...
Interprets contracts and agreements and Labor Relations Orders dealing with wages, hours, working conditions and all other matters within the purview of the agreement affecting labor relations ...
Including providing support for various investment advisers, US CFTC Swap Dealer, and CIRO registered Canadian affiliate. Managing a team of two compliance analysts. Responsibilities * Manage all ...
S. broker-dealer, was founded in the U.S. in 1962 and our first international operating subsidiary, Jefferies International Limited, a U.K. broker-dealer, was established in the U.K. in 1986. Our ...
You have basic knowledge of regulations dealing with transportation of hazardous materials * You have demonstrated ability to communicate in both written and verbal form on individual and / or ...
... dealing with a variety of trauma situations requiring quick and decisive actions. -Ideal prospective ED RNs must be able to quickly and accurately assess incoming patients with both physical and ...
Experience with dealing with celebrities and high-profile events is useful. * Ability to work effectively under time constraints and deadlines * Enthusiastic, highly motivated and a proactive team ...
Public owns its own FINRA-registered broker-dealer. You'll work with Compliance to ensure that we continue to meet our SEC and FINRA obligations. * You'll help interpret relevant laws and regulations ...
Madison Avenue Couture is the leading online independent dealer of pristine Hermes handbags and accessories in the USA. We also carry a small collection of Chanel and other ultra-luxury pristine ...
The Construction Administrator is authorized to speak for the firm when dealing with a Client or Contractor in matters concerning the interpretation of the contract documents and is directly ...
Experience/Knowledge of Yardi is a plus/bonus. 2-4 Years of Experience with Property Management and Leasing Prior Experience Dealing with City of NYC is a plus/bonus. Ability to work on-site M-F ...
Cirrus Real Estate Partners' actions are based on the firm's core values: fair dealing, fiduciary responsibility and mutual respect. Cirrus' value-based investment approach is grounded in a deep and ...
Candidates with experience dealing with technology companies are a plus. Superior academic credentials and excellent verbal, written, and interpersonal skills required. New York State Bar is required
That could be from a competitor bank or broker-dealer or it could be from the buy side or it could be from a law firm. They need specific experience of working with these type of securities to be ...
Professionalism when dealing with technicians, vendors, and employees. * Time Management * Attention to Detail * Organizational Skills * Must embody and demonstrate company values and culture. Salary ...
High levels of integrity and discretion in handling confidential information is a must and a high degree of professionalism in dealing with senior professionals inside and outside the company is ...
Two years dealer experience conducting Blackjack, Dice, American Roulette, Caribbean Stud Poker and various other casino games. * Ability to rapidly discern the numbers on dice, cards, wheels, etc ...
Conducting compliance reviews of broker-dealer operations to identify potential regulatory risks, and developing and delivering training programs on FINRA rules and regulations. Policy Development
Rate: $70/hour Onsite 1 day per week in Hoboken * Serves as the examiner-in-charge responsible for all facets of compliance M&T engagements. * Assisting the development and refinement of M&T ...
The ideal candidate will be a proven CPG sales leader dealing directly with Operations VPs. CMA selling experience is required * 5+ years of Direct Store Delivery (DSD) and Beverage category ...
Flexibility in dealing with simultaneous projects. Qualifications and Education Requirements: * High
Demonstrates proper professional expectations for team members when dealing with client requesters and client work requests, including meeting deadlines and delivering high-quality work * Responsible ...
Active monitoring of advisory and broker-dealer activities to ensure compliance with policies & procedures * Deep knowledge and administration of the firm's compliance testing program under 206(4)-7 ...