- 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
- TD Bank (New York, NY)
- …manage multiple deadlines and priorities **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... in alignment with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:** + Undergraduate degree… 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 ... projects. The team plays a critical role in ensuring model accuracy, regulatory compliance , and alignment with company strategy. This position will also provide a… 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 ... sales and distribution to new and existing clients - the legal and compliance aspects of designing and administering life insurance and annuity products + Identify… more
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... engagements in partnership with internal and external AML and financial crimes compliance , audit, IT, and business teams. + Supervise day to day operations,… 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 ... detail and accuracy. ADDITIONAL POSITION RESPONSIBILITIES * Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all… 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 ... approaches to expand market share. * Adheres to departmental and compliance documentation & reporting requirements. * Routinely assists with other… more
- JPMorgan Chase (New York, NY)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... across departments. + JD or educational equivalent required. + Compliance with relevant licensing requirements. **Preferred Qualifications, Capabilities, and… 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 ... rules and regulations + Strong communication and PC skills + No significant compliance issues + Has developed a process for client segmentation + Demonstrated… more