- Santander US (Staten Island, NY)
- …on a quarterly basis. + Maintains compliance with all applicable bank, broker /dealer, State and Federal regulations associated with the sale of investment and ... insurance products including Santander Policy Statement governing the sale of uninsured products. + When appropriate, provides leads to branch personnel for the sale of other bank products and services such as deposit accounts and loans. + Attends and actively… more
- TD Bank (New York, NY)
- …and its implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities Laws. May ... (or may not) be a registered position under FINRA. + Must be eligible for employment with a covered financial institution under the standards established by Regulation Z of the Truth in Lending Act, 12 CFR Part 1026.36. + Must be eligible for registration as a… more
- TD Bank (New York, NY)
- …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 global financial institution. + Firm understanding of securities and derivatives rules and regulations, and the ability to learn new areas while supporting them. + Excellent… 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
- SMBC (New York, NY)
- …of credit risk primarily in transactions with financial institutions (Banks, Broker /Dealers, Insurance, 1940 Act Funds, BDCs, Private Funds, Asset Managers, ... Structured transactions, etc.) in the Americas + Scope of analysis and review includes, but not limited to, counterparty credit risk, deal structure, facility terms and conditions, transaction background, profitability, and relationship strategy. + Prepare and… more
- Racker (Tompkins County, NY)
- …family members, the person's circle of support, the Care Manager, Support Broker , Fiscal Intermediary, teachers, therapists and other providers as selected by the ... person receiving services Qualifications + High school diploma or GED + Must meet Approved Driver Status Our approach to Diversity and Inclusion - "A world where all people know they belong." Job LocationsUS-Tompkins County | US-NY-Cortland | US-NY-Tioga… more
- Deloitte (New York, NY)
- …they apply to financial institutions, including retail, wholesale and international banks, broker dealers, mutual funds and insurance companies + Ability to develop ... AML/OFAC compliance policies and procedures and review other relevant policy and procedure manuals as appropriate + Ability to provide advice regarding applicable AML/OFAC regulations and requirements to the business across the three lines of defense on… more
- Trustmark (Albany, NY)
- …communities. **Overview of Role** Responsible for selling self-funded health products via Broker partners for groups under 200 lives then transitions account to an ... account manager for ongoing maintenance and service. Develops new accounts and/or generates new business from existing accounts. Pursues sales leads within assigned territory, defined by geographic area. Responds to customer inquiries and offers guidance on… more
- Trustmark (Albany, NY)
- …and communities. **About the role** Responsible for selling self-funded health products via Broker partners for groups under 200 lives then transitions account to an ... account manager for ongoing maintenance and service. Develops new accounts and/or generates new business from existing accounts. Pursues sales leads within assigned territory, defined by geographic area. Responds to customer inquiries and offers guidance on… more
- CBRE (Albany, NY)
- …to client-driven priorities, commitments, and milestones. + Coordinate field broker selection and other required resources, subject matter experts, business ... partners, etc. Facilitate client review and approval of proposed team resources for the completion of transactions. + Evaluate and interpret financial analysis templates. Develop a robust client report package. Prepare and deliver effective presentations to… more