- Lincoln Financial (Albany, NY)
- …sales and distribution to new and existing clients - the legal and compliance aspects of designing and administering life insurance and annuity products + Identify ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Comerica (New York, NY)
- …Institutions and Non-Bank Financial Institutions, including Payroll Providers, Broker Dealers, Title/Escrow companies, and Fintech organizations. Position ... Risk Management: Assess and monitor client risk exposure including operational, compliance and payment solution risk. Conduct regular review of customer activity… more
- DePaul (Rochester, NY)
- …including preparation and submission of notice of claims to the insurance broker and/or carrier, tracking claims progress and resolution for all-risk property and ... as the overall point of contact on all insurance matters ensuring insurance compliance with government, lender, and investor requirements, as well as DePaul's risk… more
- Deloitte (New York, NY)
- …engagements in partnership with internal and external AML and financial crimes compliance , audit, IT, and business teams. + Supervise day to day operations, ... in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker /dealer trades. Data governance, data lineage, data testing. + Experience working… more
- Broadridge Financial Solutions (New York, NY)
- …supervisors as needed. + Perform quality checks on documents to ensure compliance with regulatory and internal standards, under supervision. + Work flexible hours, ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Cushman & Wakefield (New York, NY)
- …business service capabilities + Coordinate with other leaders within the entire Broker & Market Support Platform, including the Deal Desk and Marketing Centers ... with disabilities. Discrimination of any type will not be tolerated. In compliance with the Americans with Disabilities Act Amendments Act (ADAAA), if you… more
- Siebert Williams Shank (New York, NY)
- …and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority (FINRA) and the ... + Ensure that all activities and duties are carried out in full compliance with regulatory requirements and internal policies and procedures Qualifications: + SIE,… more
- Broadridge Financial Solutions (New York, NY)
- …helps clients simplify shareholder management, efficiently navigate regulatory and compliance communication requirements and gain insights to effectively serve and ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Lincoln Financial (Albany, NY)
- …detail and accuracy. ADDITIONAL POSITION RESPONSIBILITIES * Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all ... to help put their goals in reach. Lincoln Financial Distributors, a broker -dealer, is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- NBT Bank (Vestal, NY)
- …rules and regulations + Strong communication and PC skills + No significant compliance issues + Has developed a process for client segmentation + Demonstrated team ... player and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA Series 7,… more