- TD Bank (New York, NY)
- …communications, platform management skills **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and ... collecting and tracking data, and researching information, etc. to ensure effective operations of the business supported + Assesses risks and recommends changes to… 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 ... In this role of Director, you will work closely with Compliance, Operations , Finance and Investor Relations to help ensure complete AML/KYC is conducted… 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 ... In this role of Director, you will work closely with Compliance, Operations , Finance and Investor Relations to help ensure complete AML/KYC is conducted… more
- TD Bank (New York, NY)
- …to 10 years of knowledge and experience in AML compliance, preferably within the broker - dealer industry at a large financial institution. + Excellent verbal and ... maintain the TDS US FCRM program. + Advise TDS Operations and other 1st line support functions on interpretation...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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 ... This includes installation, configuration, and sustainment of Dell Power Protect Data Manager (PPDM), Dell Networker backup and Dell Cyber Vault recovery software… more
- MUFG (New York, NY)
- …markets business management in large financial institutions (experience at both commercial bank and broker dealer will be preferred) + Ability to work with large ... of business projects and business strategies to improve Global Markets operations including inputs and contribution to global-wide projects. + Support FX&LM… 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...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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 ... internal reporting of Lincoln's investment positions to support strategic investment operations and initiatives. Additionally, this role will also lead team projects… 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 ... of operations , finance, regulatory reporting, sales and trading, and applicable...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more