- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $70,000 - $120,000 per year. Exact compensation may vary based on skills, experience, and location. This job is eligible for bonus and/or… more
- TD Bank (New York, NY)
- …or the equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, ... SEC, FINRA, CFTC, NFA, or Exchange Market Surveillance department) is highly desired. + In-depth knowledge of trade and communications surveillance tools and vendors, for detecting market abuse and manipulation. + Product knowledge of FX, exchange traded… more
- Guardian Life (Albany, NY)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- TD Bank (New York, NY)
- …Equities. + FINRA Series 7 & 24 licenses required + Deep knowledge of US Broker Dealer regulation; more specifically FINRA and MSRB rules & regulations, industry ... best practices and supervisory requirements + Strong ability to work with Compliance, Legal or Risk partners to interpret regulation or policy and assess applicability to business activities and controls + Strong conceptual, analytical and problem-solving… more
- Wellington (New York, NY)
- …legal support of Wealth initiatives preferred (eg, marketing and limited purpose broker - dealer requirements) + Strong understanding of complex legal and ... regulatory issues. + Excellent drafting, analytical, and communication skills. + Ability to manage multiple priorities and work independently in a fast-paced, collaborative environment. Location: Boston, Needham, New York, Chicago Not sure you meet 100% of our… more
- TD Bank (New York, NY)
- …BA/BS, or a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work ... independently. + Strong oral and written communication skills. + Ability to build and maintain professional relationships with internal and external parties. + Produce high quality output timely and accurately. + Strong technology skills including Word,… more
- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... SEC, FINRA and other relevant regulatory requirements. + Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them. + Excellent… more
- City National Bank (New York, NY)
- …Wealth Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser/ and the OCC. * For ... Wealth Management Compliance roles, experience working within a Compliance Investment Management role. *Compensation* Starting base salary: $77,000 to $143,000 per year. Exact compensation may vary based on skills, experience, and location. This job is… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker - dealer or investment adviser + Proactive, self-motivated, and highly organized ... + Strong interpersonal, oral, and written communication skills + Understanding of FINRA, SEC, and state registration/licensing requirements + Excellent computer skills (Excel, Microsoft Office Suite, Workday) + Skilled at managing multiple deadlines and… 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