- Manulife (New York, NY)
- …of 5-7 years of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly ... Know Your Client onboarding activities and knowledge of relevant rules applicable to financial services firms (AMLTF, PCMLTF, US Title 31, FINTRAC/FINCEN, OSFI,… more
- NBT Bank (Williamsville, NY)
- …and high quality service provider + Advanced knowledge of all broker dealer advisory platforms Unique Job Characteristics and Requirements: FINRA Series ... Program (EAP) : Access to support and resources. + Financial and Banking Services : Various benefits...us via email at ###@nbtbank.com. The Human Resources Shared Service Center hours of operation are Monday through Friday,… more
- TD Bank (New York, NY)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations ... + Applies best practices to implement process, product or service improvements + Acts as a subject matter expert...Management, Collateral + Monitoring/Management or Treasury function within a financial services setting + Understanding of key… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge ... of global financial institutions' operational, financial , sales and trading,...leadership and communication (oral and written) skills. + Client service skills - ability to demonstrate sound judgment and… more
- Guardian Life (Albany, NY)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities) to drive revenue through PAS's multifaceted ... 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
- Raymond James Financial, Inc. (New York, NY)
- …a subject matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable regulations ... **Advanced knowledge of:** + Compliance and legal procedures in the financial services industry. + Concepts, practices, and procedures of the financial… 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. ... with us and make a significant impact in the financial industry. As an Attorney in the JPMorgan Asset...manages legal and other risks, advises on products and services , interprets laws and regulations that impact the firm,… more
- TD Bank (New York, NY)
- …Advanced PC skills required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... - product capabilities expansion and platforms consolidation + Valuation Services delivery for Market Risk and PL program -...and technical interfaces to ensure a high level of service and support to the client and efficient system… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including the derivatives and broker dealer businesses. Based in the New York Metro area, IADA staff ... or license relevant to the profession.Demonstrates a sound understanding of the financial services industry, including audit, financial , risk management,… more
- Manulife (New York, NY)
- …of 5-7 years of relevant experience required + Experience in a legal, banking, broker dealer , regulatory, private equity fund or asset management firm is highly ... Know Your Client onboarding activities and knowledge of relevant rules applicable to financial services firms (AMLTF, PCMLTF, US Title 31, FINTRAC/FINCEN, OSFI,… more