- Santander US (Staten Island, NY)
- …related sales and revenue goals as defined on a quarterly basis. + Maintains compliance with all applicable bank, broker / dealer , State and Federal ... client objectives, and making appropriate investment/insurance recommendations consistent with compliance standards to achieve sales results and long-term client… more
- Citigroup (Getzville, NY)
- …functions for ad-hoc analysis, such as filtering, sorting, pivoting, lookups, etc. + Broker / Dealer books and records fluency, such as stock record **Education:** ... which is responsible for executing daily controls to mitigate the inherent risk of non- compliance with the SEC's Client Asset Protection rule (15c3-3), a Tier 2 US… more
- TD Bank (New York, NY)
- …unstructured and fast paced environment **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... responsibilities. This role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory Jurisdiction (OSJ)… more
- BlackRock (New York, NY)
- …and promote regulatory expertise and rigor. **Qualifications** + Bachelor's degree + 3+ years compliance background with a broker - dealer , mutual fund, or ETF ... The Associate will work closely with product, marketing and compliance groups and FINRA staff to help ensure regulatory... groups and FINRA staff to help ensure regulatory compliance of marketing and sales collateral, digital content, 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 ... participant communications - in partnership with external administration vendor. * Ensure compliance with applicable regulations such as IRC 409A and coordinate with… 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 ... of business processes, risks, and control objectives. + Carry out duties in compliance with all state and federal regulations and guidelines. Comply with all company… 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 ... and ensures the integrity of accounting records for completeness, accuracy and compliance with accepted accounting policies and principles. + Builds mortgage loans… more
- Bank of America (New York, NY)
- …engagement of Liquidity Risk & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor and notify or escalate ... goals. Influencing and negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and Banking) risk colleagues +… more
- Guardian Life (New York, NY)
- …through our General Agency distribution system as well as through the Third Party and Broker Dealer arm. + Oversee the development of content that aligns to the ... execute with excellence. Key stakeholders include Product Development, Distribution, Compliance , Legal, Technology, and outside vendors. **Responsibilities:** + Responsible… more
- JPMorgan Chase (West Harrison, 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 ... Reviews and Inquires + Support business unit operational procedures and compliance requirements (eg completion of required operational forms and documentation) +… more