- TIAA (New York, NY)
- …company fueled by world-class asset management. But weʼre not just another legacy financial services firm. Weʼre fighting harder than ever before for our ... Experience in securities litigation, enforcement matters, investigations, ERISA, antitrust, broker - dealer , and/or insurance law a plus. +...work at not-for-profits rely on our wide range of financial products and services to support and… more
- 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