- 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 ... problem tracking system. This includes Tier II incident and problem management executing within our ServiceNow incident, problem and change management… 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 ... been experiencing growth and career development on our Account Management team and this is a great opportunity to...+ 3 - 5 + years' experience in account management and/or relationship management and retirement industry… 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 ... for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements to existing programs to… 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 ... add value and improve organizational operations by evaluating risk management , control, and governance processes. The Audit Analyst role...audit department and the company. * Partner with risk management and other first and second line partners to… more
- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... on project delivery covering aspects such as quality, timelines, risk, and issue management + Track internal metrics such as utilization, Budget Vs Spend, resource… 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 ... different business areas of the bank to evaluate the effectiveness of risk management and governance processes. Along with its counterparts in London, Hong Kong and… 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 ... plays a critical role in driving growth within our wealth management business by supporting financial professionals in identifying, positioning, and closing… 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...for the team. + Communicate with sales and trading management and US Compliance personnel on relevant compliance issues,… 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 but ... of report issuance, and exercise credible challenge. + Prepare reports for management that highlights the scope, testing approach, and the overall results and… 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 ... firm level projects and/or initiatives. + Performs human resource management activities, including identifying performance problems and approving recommendations for… more