- Kestra Financial (Wappingers Falls, NY)
- …in the financial services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... to: equities, bonds, options, mutual funds, annuities, insurance, and managed accounts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 required + Series 65/66 preferred: (or… more
- Mizuho Corporate Bank (New York, NY)
- …risk capital calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III + Conduct quantitative ... analyses to explain variation in the risk capital under US and Japanese Basel approaches + Prepare and distribute risk capital reports, including rigorous data validation and effective commentary + Review, monitor, and manage risk capital budgets + Establish,… more
- Insight Global (New York, NY)
- …Requirements 5+ years of experience in financial operations and compliance within a broker - dealer or clearing house. Deep understanding of SEC, FINRA, and Nasdaq ... regulatory landscapes. Experience working with micro-cap IPOs and syndicate management (sub 200 million) Bilingual in Mandarin Chinese and English Strong interpersonal skills and ability to work in a fast-paced, entrepreneurial environment. Commercial mindset… 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
- TD Bank (New York, NY)
- …years of relevant industry and/or audit experience + Strong understanding of Broker - Dealer operations, Investment Banking, Research, and Capital Markets + Senior ... leadership experience, ideally with a financial management background + Proven success in developing and executing strategies that deliver both short- and long-term results + Expert knowledge of audit principles, practices, and applicable securities laws and… 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
- Raymond James Financial, Inc. (New York, NY)
- …knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and regulations of ... the SEC, FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear,… more
- TD Bank (New York, NY)
- …accordance with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through ... acquisitions (eg, TD Cowen), and continues to expand its product offering and client franchise across all asset classes. The successful candidate will develop an in-depth knowledge of Global Markets Supervision framework and associated policies and (review)… more
- JPMorgan Chase (Lake Grove, 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
- 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