- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... to design & deliver solutions to market * be responsible for inforce management from a product perspective (non-actuarial) * assist in developing the short- and… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... respond to requests from external parties concerning Lincoln's own information risk management practices. **What you'll be doing** + Maintains knowledge on current… 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 ... Director leads diverse teams of professionals in the overall management of the audit function. **Depth & Scope:** +...the audit function. **Depth & Scope:** + Provides people management leadership by hiring the best talent, setting goals,… 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 ... of experience **Preferred Qualifications:** + Experience or knowledge of Liquidity Management , especially Intraday Liquidity Management , Collateral + Monitoring/… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... General Account Invested Assets on a Statutory, GAAP (specifically SEC reporting), Management and Tax basis and assisting with performing and documenting SOX… 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 ... and tracking related to examinations and regulatory findings. + Assist with the management and tracking of regulatory inquiries. + Assist with monthly and ad hoc… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... investment accounting for the General Account Invested Assets on a Statutory, GAAP, Management and Tax basis. They will be responsible to perform more complex… more
- Santander US (Staten Island, NY)
- …defined on a quarterly basis. + Maintains compliance with all applicable bank, broker / dealer , State and Federal regulations associated with the sale of ... and executes quarterly business development plans in accordance with sales management 's objectives surrounding the marketing and promotion of investment products and… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln ... developments/trends for cyber security related to third party risk management and third party contracting. + Manages a team...that significantly improve the quality of third party risk management and due diligence. + Responsible for management… 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 ... deficiencies to key stakeholders, and exercise credible challenge. + Support issue management , and support a culture of compliance across the enterprise. +… more