Dealer Jobs in White Plains (NY)
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Search Results - Dealer Jobs in White Plains (NY)
The Bank of New York MellonWhite Plains (NY)
Overview
As Senior Vice President in Markets Compliance, you will serve as a strategic partner advising business and platform leads on US broker-dealer laws and regulations. You will help design, implement, and maintain a robust compliance program...
Northwestern MutualWhite Plains (NY)
10 US Independent Broker-Dealer
• $9.2 billion total dividend payout
• $399 billion total company assets
• Moody's Aa1 Rating
• AM Best Company A++ Rating
• Fitch AAA Rating
• S&P AA+ Rating
• 5.2 million total clients
• $42.3 billion in Annuities...
Forge GlobalWhite Plains (NY)
daily funding and liquidity requirements for the broker-dealer balance sheet
• Finance inventory generated by customer margin loan balances
• Develop funding strategies across market cycles, rate environments, and changing liquidity conditions
• Monitor...
JPMorgan Chase & Co.White Plains (NY)appcast.io
Bachelor’s Degree preferred
INVESTMENT AND INSURANCE PRODUCTS ARE:
Investment products and services are offered through J.P. Morgan Securities LLC (JPMS), a registered broker-dealer and investment advisor, member of FINRA and SIPC. Annuities are made...
Robert HalfWhite Plains (NY)
and testing as needed
• Monitor and analyze investment, loan, deposit, and long-term debt portfolios to identify key drivers of IRR
Key requirements
• 10+ years Asset Liability Management (ALM), Money Market Trading, or Treasury Dealer experience at a bank...
New York LifeWhite Plains (NY)
our broker-dealer arm, NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed Insurance Agency, ensuring that the solutions you develop with your clients can help them and their families achieve their financial goals. You’ll also be able...
Santander Consumer USAWhite Plains (NY)
portfolio analysis, and actionable client ideas
• Track new issuance, investor demand, dealer positioning, agency-program developments, and broader rates-market trends
• Maintain accurate marks, trade bookings, and position data; resolve breaks, fails...
Coda Search│StaffingWhite Plains (NY)mindmatch.ai
valuations and investment theses
• Draft investment memoranda and other materials for internal and external audiences
• Support transaction execution alongside senior members of the team
• Engage directly with brokers, borrowers, dealers and servicers...
PublicWhite Plains (NY)
obligations
• Support broker-dealer, investment adviser, and futures regulation matters with SEC, FINRA, CFTC, NFA obligations
• Develop and implement AI governance policies and QA processes for customer-facing and internal tools
• Own privacy program elements...
Culligan QuenchWhite Plains (NY)mindmatch.ai
and solution for businesses. Culligans network of franchise dealers is the largest in the world, with over 900 dealers in 90 countries. Many of Culligan dealers have valuable equity in their local communities as multigenerational family owners...
White Plains (NY)icims.com
a registered investment adviser, broker-dealer, and member of FINRA and SIPC, and Northwestern Mutual Wealth Management Company® (NMWMC) (Investment Advisory Services), a federal savings bank. NM and its subsidiaries are in Milwaukee, WI.
• Individuals...
Glocap SearchWhite Plains (NY)mindmatch.ai
management, hedge funds, broker-dealers, family offices, or other alternative investment environments
• Experience with Portfolio Manager P&L, compensation allocations, incentive compensation, or investment professional payout structures strongly preferred...
ING BankingWhite Plains (NY)
Overview
As VP, Product Compliance Officer, you will provide regulatory guidance for derivatives-related activities within a global financial institution. You will advise Front Office, support the Swap Dealer and Broker Dealer programs...
RampWhite Plains (NY)
of an SEC-registered adviser
• Experience in fintech
• Deep knowledge of Advisers Act and SEC expectations
• Direct experience supporting SEC examinations
• Experience overseeing custodian/broker-dealer/sub-adviser relationships
• Independent judgment under...
Intercontinental ExchangeWhite Plains (NY)
disciplinary action against broker-dealer members and associated persons
• Collaborate with NYSE Regulation teams and external regulators (SEC, FINRA, other SROs)
• Contribute to regulatory guidance, rule development, and strategic regulatory initiatives...
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