- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge ... of global financial institutions' operational, financial, sales and trading, and regulatory reporting activities and their obligations to applicable rules and regulations. + Working knowledge of financial industry regulatory landscape. + Excellent… more
- KeyBank (Albany, NY)
- …a group of KIS registered representatives on behalf of the bank channel broker - dealer . The Central Supervision Principal is responsible for the principal ... supervision and surveillance of all bank brokerage, advisory and insurance sales activities. This includes, but is not limited to, new account opening, investment and insurance suitability review, financial planning oversight, customer complaint research and… more
- JPMorgan Chase (Brooklyn, NY)
- …and services are offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA and SIPC. Annuities are ... made available through Chase Insurance Agency, Inc. (CIA), a licensed insurance agency, doing business as Chase Insurance Agency Services, Inc. in Florida. JPMS, CIA and JPMorgan Chase Bank, NA are affiliated companies under the common control of JPMorgan… more
- Citigroup (New York, NY)
- …+ Global platform includes Prime Brokerage and Swap offerings across US and international broker dealer and bank chain entities. + Client portfolios comprise of ... a broad range of asset classes and investment strategies. Typical product scope includes: + Asset classes: equities (incl ETFs, custom baskets, OTC); fixed income corporates and converts; listed options + Strategies: Equity Long/Short; Quant; Multi-Strat;… more
- NBT Bank (Williamsville, NY)
- …team player and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA ... Series 7, Series 63 and life insurance license or a Registered Investment Advisor (RIA) Tasks Performed: + 40% Conducts regular client review meetings to uncover additional investment and insurance needs and to develop deeper relationships through financial… more
- Raymond James Financial, Inc. (New York, NY)
- …a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable regulations ... and interpretations, including customer and PAB reserve computations (SEA rule 15c3-3) and net capital computation (SEA rule 15c3-1). + Works with RJF Compliance Pillars to appropriately assess risks, obligations, and develop KRIs. + Reviews and supports the… more
- Hold Brothers (New York, NY)
- About the Job: Hold Brother's Capital is a self-clearing broker - dealer with a specialization in proprietary trading in US equities markets, headquartered in New ... York City. We are seeking a highly motivated and Business Development Lead to join our dynamic team. As a key member of our organization, you will play a crucial role in driving sales growth and contributing to the achievement of our business goals.… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... Financial is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their… more