- Deloitte (New York, NY)
- …workshops in Microsoft PowerPoint + Experience with wire transfers, trade finance, broker / dealer trades. Data governance, data lineage, data testing. + ... Senior Consultant, Anti-Money Laundering Analytics About Deloitte Regulatory , Risk & ForensicOur Deloitte Regulatory ,...partnership with internal and external AML and financial crimes compliance , audit, IT, and business teams. + Supervise day… 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 ... to new and existing clients - the legal and compliance aspects of designing and administering life insurance and...position with third parties such as federal and state regulatory bodies and agencies + Prepare and maintain registration… more
- Raymond James Financial, Inc. (New York, NY)
- …**Advanced knowledge of:** + Concepts, practices, and procedures of the securities industry, broker / dealer compliance and/or branch exams + Rules and ... Clear communication of all exam findings to branch management, exam managers and compliance leadership + Provide reporting of exam findings and complete any related… more
- Lincoln Financial (Albany, NY)
- …development + Knowledge of internal controls, business / information technology risk, regulatory and compliance frameworks (ITIL, NIST, COBIT, NY DFS, SEC, ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Guardian Life (New York, NY)
- …through our General Agency distribution system as well as through the Third Party and Broker Dealer arm. + Oversee the development of content that aligns to the ... execute with excellence. Key stakeholders include Product Development, Distribution, Compliance , Legal, Technology, and outside vendors. **Responsibilities:** + Responsible… more
- Lincoln Financial (Albany, NY)
- …strategic projects. The team plays a critical role in ensuring model accuracy, regulatory compliance , and alignment with company strategy. This position will ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- JPMorgan Chase (New York, NY)
- …+ ETF experience and in-house legal experience. + Experience advising on broker - dealer issues. + Expertise in complex transactions and index management. ... engage in the creation and management of new and existing funds, navigate regulatory developments, and offer legal guidance to the JPMorgan Funds' Boards of… more
- Lincoln Financial (Albany, NY)
- …a high standard of service and governance for all programs. * Support audits, compliance reviews, regulatory filings and other duties as needed. **What we're ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more
- Bank of America (New York, NY)
- …+ Issue Management + Liquidity Management + Monitoring, Surveillance, and Testing + Regulatory Compliance **Shift:** 1st shift (United States of America) **Hours ... & LOB team and approval via senior executives and broker - dealer Board of Directors, as appropriate. Monitor...negotiating across CFO partners, as well as EFR organization, Compliance & Op Risk, and other verticals (GBAM and… more
- Lincoln Financial (Albany, NY)
- …and support for our Security and Enterprise departments by implementing and enforcing regulatory compliance and standards adherence. **What you'll be doing** + ... to help put their goals in reach. Lincoln Financial Distributors, a broker - dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln… more