- Guardian Life (New York, NY)
- The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment ... products. The role supports end‑to‑end operations from onboarding through transactions, reconciliation, and servicing requests. **You are** + A consummate… more
- TD Bank (White Plains, NY)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Trade Operations Senior Support Specialist is responsible for the strategic and ... + Series 7 and 24 **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or… more
- TD Bank (New York, NY)
- …knowledge and experience in AML compliance, preferably including investment banking / broker - dealer experience at a large financial institution. + Excellent ... for this role. **Job Description:** **Position:** Financial Crime Risk Oversight Specialist **Reports to:** Director, Financial Crime Risk Oversight, TD Securities,… more
- JPMorgan Chase (New York, NY)
- … Operations to drive revenue and client success + Strategize with key broker - dealer firms on 529 plan goals and initiatives + Manage day-to-day relationships ... way that's best for them. As a 529 Relationship Manager and Investment Specialist within JP Morgan Asset Management's Global Strategic Relationship team, you will… more
- Wells Fargo (New York, NY)
- …statutory disqualification are not eligible to be associated with a FINRA-registered broker - dealer . Successful candidates must also meet and comply with ongoing ... rules. **About this role:** Wells Fargo is seeking a Lead Business Accountability Specialist (Vice President) for our ETRM team. We are seeking a self-starting… more
- Wellington (New York, NY)
- …including SEC, CFTC, FINRA, NFA requirements + Advising on activities of limited-scope broker / dealer and retail-adjacent activities of our investment adviser, ... with legal support of Wealth initiatives preferred (eg, marketing, limited-scope broker / dealer support, US retail fund distribution, interval funds, tender… more
- TD Bank (New York, NY)
- …risks and taxonomies related to consumer and commercial banking, securities ( broker - dealer ), and wealth management** + **Prior experience working with ... to make a tangible impact - both in day-to-day operations and in the design of a future-focused compliance...of the Compliance program + Represents CGO as a specialist on internal or external committees as well as… more
- KeyBank (Amherst, NY)
- …information to the trade desk to provide pooling/settlement information to the Broker / Dealer within specified timeframes. * Understand and maintain up-to-date ... York ABOUT THE JOB (JOB BRIEF): The Loan Delivery Specialist reports to the Post Closing Manager is responsible...marketing trade desk. * Work closely with all mortgage operations to promptly resolve documentation, processing and compliance issues… more