- Guardian Life (New York, NY)
- …our 29 million customers realize their dreams through a range of insurance and financial products and services . Our Purpose, to inspire well-being, guides our ... and you thrive in a fast-paced environment where best in class customer service is your standard. You are patient, empathetic, detail orientated, and work well… more
- Kestra Financial (Wappingers Falls, NY)
- … services industry allowing for a strong understanding of broker / dealer operations and financial services products, including but not limited ... servicing. This position requires a strong understanding of the financial services industry and products, and is...+ Supports Lead Advisor including managing client needs regarding service , asset allocation, case design and financial … more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable ... of operations, finance, regulatory reporting, sales and trading, at a global financial institution. + Firm understanding of securities and derivatives rules and… more
- SMBC (New York, NY)
- …exchange traded products. SMBC Nikko Securities America, Inc. is an SEC-registered securities broker - dealer and member of the Financial Industry Regulatory ... 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit...clients. The individual will support activities within our swap dealer and broker dealer businesses… more
- Siebert Williams Shank (New York, NY)
- …and support senior bankers in business development efforts. SWS is a full- service investment banking and financial services company dual-headquartered ... sound regulatory capital base. We are a SEC-registered securities broker - dealer and member of the Financial...only committed to providing the highest level of value-added services to our clients but also committed to improving… more
- SMBC (New York, NY)
- …+ Knowledge of capital markets products and services relevant to the Banks and Broker Dealer clients + Knowledge of general elements of credit risk as well ... 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit... Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects… more
- Marex (New York, NY)
- …Annual Compliance Plan in line with below responsibilities: + Provide Compliance Advisory services to US Broker Dealer business lines. + Complete ... Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity,...or assist in completing US Broker Dealer related regulatory inquiries. + Complete… more
- Lincoln Financial (Albany, NY)
- …solutions and service to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of ... role include designing, managing, maintaining and securing LFG's (Lincoln Financial Groups) Active Directory, Active Directory Certificate Services ,… more
- Deloitte (New York, NY)
- …have a genuine passion for driving strategic transformation in the financial services industry combined with relationship-building, leadership, and communication ... executive clients to act is essential. A genuine passion for the financial services industry, combined with relationship-building, leadership, and communication… more
- TD Bank (New York, NY)
- …you've got years of banking experience or are just starting your career in financial services , we can help you realize your potential. Through regular leadership ... required + Provides support to the CCO of the broker - dealer by hiring, rebuilding/building and managing US...Are:** TD is one of the world's leading global financial institutions and is the fifth largest bank in… more