- 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 ... management **Preferred Qualifications:** + Solid background/experience working in Capital Markets/ Financial Services industry across Equities asset class… more
- Citigroup (Getzville, NY)
- …of variances. **Qualifications:** + 3+ years of extensive experience within the financial services industry and regulatory reporting. + Foundational knowledge of ... a Tier 2 US regulation. This is deemed a Financial Responsibility rule by the SEC, requiring an annual...analysis, such as filtering, sorting, pivoting, lookups, etc. + Broker / Dealer books and records fluency, such as… 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 ... on key control issues + Manages the audit function's financial budget within plan and risk parameters + Stays...offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose… 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 ... customers realize their dreams through a range of insurance and financial products and services . Our Purpose, to inspire well-being, guides our dedication to the… 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 ... customers realize their dreams through a range of insurance and financial products and services . Our Purpose, to inspire well-being, guides our dedication to the… more
- Deloitte (New York, NY)
- …investments to help strategic roadmap planning. The TeamOur Forensic, Discovery, & Financial Crime offering provides services to support anti-money laundering, ... workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. +… more
- KeyBank (Albany, NY)
- …a group of KIS registered representatives on behalf of the bank channel broker - dealer . The Central Supervision Principal is responsible for the principal ... Group (CSG) represents the Office of Supervisory Jurisdiction for Key Investment Services LLC. The Senior Associate-Central Supervision Principal reports to the Head… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge ... organizational, leadership and communication (oral and written) skills. + Client service skills - the candidate must demonstrate the judgment and ability… 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 ... a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. 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 ... Are** TD Securities offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose us for our… more