- Guardian Life (Albany, NY)
- …familiarity of state insurance laws (inclusive of NAIC). + 3-5 years of broker - dealer and registered investment advisor compliance experience, with ... Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we...experience at an insurance-affiliated broker / dealer as a plus. + Prior examination, auditing or… more
- SMBC (New York, NY)
- …role within the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new ... the origination and execution of transactions with Banks and Broker Dealer clients + Work closely across...a fast-paced entrepreneurial environment + An interest in the regulatory framework for Banks and Broker Dealers,… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker - Dealer : The Deputy Chief Compliance and Risk Officer, will ... one of the largest global insurance and employee benefits broker , providing a boundaryless array of business insurance, employee...initiatives. + 10+ years' experience as a senior SEC regulatory compliance professional for either a large… more
- TD Bank (New York, NY)
- …of the Compliance Risk Assessment framework to ensure the applicable regulatory compliance risks and internal controls are identified and assessed to ... regulatory remediation + Familiarity with developing and implementing regulatory compliance risk management frameworks and programs, including … more
- TD Bank (New York, NY)
- …specific details for this role. **Job Description:** TD has enhanced its Regulatory Compliance Management Framework (RCM) and is implementing new enhancements ... a strong risk culture and comprehensive approach to managing regulatory compliance risk. This Director - ...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- JPMorgan Chase (New York, NY)
- …will require knowledge of compliance within the financial industry, key compliance skills, familiarity with regulatory best practices along with an ability ... management of compliance and conduct risks. + Collaborate with Legal, regulatory engagement, the business and other control functions to gather information and… 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 ... advice, guidance and support to business units in adhering to regulatory / compliance requirements and assists in implementing compliance initiatives 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 ... **Requisition #:** 74750 **The Role at a Glance** The AVP, Product Compliance & State Filing provides leadership, direction and functional expertise to ensure… more
- KeyBank (Amherst, NY)
- …and regulations across Key's Asset Management activities (ie - wealth management and trust, broker - dealer , and swap dealer ) and lines of business, products, ... testing and continuous monitoring of Asset Management engagements to evaluate Key's compliance with regulatory requirements. The Director must have comprehensive… more
- Raymond James Financial, Inc. (New York, NY)
- …and an understanding of the market standard risk management practices . Broker - dealer supervisory frameworks, retail investment platforms, and UHNW product risks ... of fifteen (15) years of financial services experience required . Experience in broker - dealer or wealth management firms preferred, especially with exposure to… more