- BlackRock (New York, NY)
- …rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker - dealer , mutual fund, or ETF business with 1+ years advertising ... review experience. + Strong familiarity with FINRA and SEC advertising rules. + Series 7 registration required; Series 63 and 24 preferred (absolutely required within 2 months). + Excellent organizational and interpersonal skills; should be solutions driven,… 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
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... members perform various audits of different business areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and Singapore, IADA reports to and composes the overseas arm of… more
- Guardian Life (New York, NY)
- …life and annuity insurance products. Park Avenue Securities is Guardian's broker - dealer and corporate Registered Investment Advisor (RIA), which offers ... clients an expanded suite of products and solutions to help them achieve financial well-being. The High Net Worth Specialist plays a critical role in driving growth within our wealth management business by supporting financial professionals in identifying,… 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
- Manulife (New York, NY)
- …of 5-7 years of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly ... desirable (Canada, the United States, EMEA & APAC) + Strong preference for candidates with experience in anti-money laundering and Know Your Client onboarding activities and knowledge of relevant rules applicable to financial services firms (AMLTF, PCMLTF, US… more
- Manulife (New York, NY)
- …of 5-7 years of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly ... desirable (Canada, the United States, EMEA & APAC) + Strong preference for candidates with experience in anti-money laundering and Know Your Client onboarding activities and knowledge of relevant rules applicable to financial services firms (AMLTF, PCMLTF, US… more
- Scotiabank (New York, NY)
- …years of compliance experience, including experience providing advisory support to a broker - dealer equities sales and trading business. + Knowledge of relevant ... SEC and FINRA rules and regulations pertaining to Sales and Trading, including transaction reporting, best execution, market access, Consolidated Audit Trail (CAT) requirements, etc. + Relevant compliance experience, including policies and procedures… more
- Santander US (Staten Island, NY)
- …defined on a quarterly basis. + Maintains compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... investment and insurance products including Santander Policy Statement governing the sale of uninsured products. + When appropriate, provides leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans. +… more
- TD Bank (New York, NY)
- …seq., and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities ... Laws. May (or may not) be a registered position under FINRA. + Must be eligible for employment with a covered financial institution under the standards established by Regulation Z of the Truth in Lending Act, 12 CFR Part 1026.36. + Must be eligible for… more