- 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 ... \#DICE **What's it like to work here?** At Lincoln Financial , we love what we do. We make meaningful...including annuities, life insurance, group protection, and retirement plan services . With our 120-year track record of expertise and… more
- Foresters Financial Services (Westbury, NY)
- …through Cetera include award-winning wealth management and advisory platforms, comprehensive broker - dealer and registered investment adviser services , ... Apply Description What we need: This role supports the Registered Financial Services Sales Representative's business with day-to-day administrative assistance… more
- TD Bank (New York, NY)
- …equivalent experience at a regulatory body (eg, leading a bank or broker / dealer exam team). + Surveillance experience at Financial Market Regulator (eg, SEC, ... related experience **Preferred Qualifications:** + Advanced degree (JD, MBA, or Masters in Financial Engineering, Data Science, or Statistics) is a plus. + 7+ years… more
- CIBC (New York, NY)
- …line of business, which includes global markets, investment banking and corporate banking services provided through the US broker - dealer , CIBC World Markets ... the US Compliance Examination Plan established to ensure adherence with broker - dealer requirements and compliance with federal and self-regulatory organization… more
- Atria Wealth Solutions (Corning, NY)
- Through its relationship with CUSO Financial Services , L. P. (CFS) First Heritage Federal Credit Union is seeking a Financial Advisor to provide retirement ... the following: + Identifies and evaluates customer needs for financial services , assess the objectives and goals...LP visit www.cusonet.com . CFS (Member FINRA/SIPC) is a broker - dealer and RIA with a stable, 25-year… more
- JPMorgan Chase (New York, NY)
- …At least 2 years in a Financial Advisor role or equivalent financial services experience + Demonstrated success in client acquisition, cultivating and ... offered through JP Morgan Securities LLC (JPMS), a registered broker - dealer and investment advisor, member of FINRA...not available in all states. Chase is a leading financial services firm, helping nearly half of… more
- SMBC (New York, NY)
- …and with a 400-year history, SMBC Group offers a diverse range of financial services , including banking, leasing, securities, credit cards, and consumer finance. ... 80,000 employees worldwide in nearly 40 countries. Sumitomo Mitsui Financial Group, Inc. (SMFG) is the holding company of...CUSO Market Risk and other risk stripes under the Swap- Dealer and Broker - Dealer legal entity… more
- Santander US (Staten Island, NY)
- …**Your Journey Starts Here:** Santander is a global leader and innovator in the financial services industry. We believe that our employees are our greatest ... Financial Advisor - Centralized, Staten Island, NY Country:...quarterly basis. + Maintains compliance with all applicable bank, broker / dealer , State and Federal regulations associated with… more
- Mizuho Corporate Bank (New York, NY)
- …by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout ... Summary The Financial Resource Management (FRM) team is looking for...calculations for all Mizuho Americas businesses and products (banking, broker - dealer and derivatives trading) under Basel III… more
- Mizuho Corporate Bank (New York, NY)
- …by total assets of ~$2 trillion. Mizuho's 60,000 employees worldwide offer comprehensive financial services to clients in 35 countries and 800 offices throughout ... regulatory rules and will contribute analysis and translation of various Broker - Dealer regulatory requirements in collaborations with other stakeholders (eg,… more