- TD Bank (New York, NY)
- …a similar degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of ... to manage their regulatory risk. **Key Responsibilities** + Manage the day to day operations of the branch inspections team which include but not limited 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 ... and malicious activities. + Maintain expertise in Operating Systems (Windows/Linux) operations and artifacts to assist in investigations. + Ability to analyze… 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 ... inquiries by regulators covering various businesses, functions and topics, including operations , finance, regulatory reporting, and sales and trading, and prepare… more
- City National Bank (New York, NY)
- …Management Compliance roles, experience with a financial institution such as a broker / dealer and/or registered investment adviser. * For Wealth Management ... banking compliance laws and regulations, as related to lending, deposits, payments, and bank operations (Examples include but are not limited to: Reg B, Reg C, Reg… 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 ... not required + Knowledge of operations , finance, regulatory reporting, sales and trading, at a global financial institution. + Firm understanding of securities and… more
- Coinbase (Albany, NY)
- …instruments accounting* within a financial institution (eg, investment bank, hedge fund, broker - dealer ). * Strong analytical and problem-solving skills, with the ... dynamic finance team, specifically focusing on our Prime Financing and Capital Markets operations . This is a critical role that will drive the accurate and compliant… more
- JPMorgan Chase (New York, NY)
- …and other digital assets. You will be experienced in Bank and/or Broker / Dealer Compliance and be responsible for developing and overseeing risk-based ... and address digital asset related queries from LOB risk, business, fraud, and operations groups with respect to cryptocurrency and other digital assets + Help… 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 ... for new and ongoing projects/process enhancements that lead to overall effective operations * Works on more complex initiatives spanning across business areas, and… more
- City National Bank (New York, NY)
- …other regulatory affairs. * Experience with a financial institution such as a broker / dealer and/or registered investment adviser. * Experience working within a ... Develop procedures in coordination with Investment Management teams, IT/Programmers, Operations , Legal and Compliance * IT Coordination: Coordinate with IT… 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 ... of the insurance industry and become familiar with the company's products, operations and distribution systems. + Partner with IT Infrastructure, security, risk… more