- Bloomberg (New York, NY)
- …and accurate market-moving data so they can stay on top of their game: broker estimates, financial filings, and any other dataset that is useful to understand ... financial performance in the markets. Our products run on intelligence and industry-specific insights provided by our industry teams. We combine financial modeling, industry expertise, data management, and technical skills to curate critical metrics and drive… more
- Deloitte (New York, NY)
- …apply to financial institutions, including retail, wholesale and international banks, broker dealers, mutual funds and insurance companies, money service businesses, ... and Financial Technology (FinTech) organizations + Ability to develop AML/OFAC compliance policies and procedures and review other relevant policy and procedure manuals as appropriate + Understanding of and ability to provide advice regarding applicable… more
- Raymond James Financial, Inc. (New York, NY)
- …knowledge of:** + Concepts, practices, and procedures of the securities industry, broker /dealer compliance and/or branch exams + Rules and regulations of the SEC, ... FINRA, and state securities regulatory agencies + Fundamental investment concepts, practices, and procedures used in the securities industry + Financial markets and products **Skill in:** + Thorough and balanced documentation of work product + Clear, concise,… more
- Guardian Life (New York, NY)
- …products and services offered by Guardian and its subsidiaries, including affiliated broker dealers, comply with applicable laws, regulations, and standards. This is ... a highly visible role as you work with various levels of personnel within Law, Compliance, and the business and functional areas to perform high quality, value-added projects. This includes aiding assurance and advisory projects as well as supporting… more
- Broadridge Financial Solutions (New York, NY)
- …delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge, ... we are committed to making a difference (https://www.broadridge.com/about/sustainability/) . Our unique culture is guided by the Service-Profit Chainthe idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation… more
- Broadridge Financial Solutions (New York, NY)
- …delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge, ... we are committed to making a difference (https://www.broadridge.com/about/sustainability/) . Our unique culture is guided by the Service-Profit Chainthe idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation… more
- NBT Bank (Saratoga Springs, NY)
- …education and experience required + Bachelor degree preferred + Property & Casualty Broker 's license and/or Life, Accident, and Health license or ability to obtain ... within 6 months of hire Skills and Abilities: + Demonstrated excellent verbal and business writing skills; ability to effectively handle diverse customers and to express empathy and concern; + Proficient in ability to analyze varied data, research problems and… more
- Broadridge Financial Solutions (Edgewood, NY)
- …delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge, ... we are committed to making a difference (https://www.broadridge.com/about/sustainability/) . Our unique culture is guided by the Service-Profit Chainthe idea that success is mutual, directly connecting employee engagement, client satisfaction, and the creation… more
- TD Bank (New York, NY)
- …with Firm policy and regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically and through acquisitions ... (eg, TD Cowen), and continues to expand its product offering and client franchise across all asset classes. The successful candidate will develop an in-depth knowledge of Global Markets Supervision framework and associated policies and (review) procedures. The… more
- Coinbase (Albany, NY)
- …demo calls, serving as a subject matter expert for the Prime Broker suite of services, and address technical cryptocurrency-related questions. * Operationalize new ... and existing policies, processes, and procedures, ensuring alignment with risk and control requirements. * Support product launches by driving operational readiness and ensuring seamless integration for institutional clients. * Serve as a key member of the… more