- TD Bank (New York, NY)
- **Work Location** : New York, New York, United States of America ** Hours :** 40 **Line of Business:** Business Management, Strategy & Support **Pay Detail:** $185,000 ... 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… 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 ... environments. * Located in or able to work Eastern or Central Time Zone hours . Job #: P71800 \#LI-Remote *Pay Transparency Notice:* Depending on your work location,… more
- BMO Financial Group (New York, NY)
- …Income Compliance team in New York with a focus on FINRA and SEC broker -dealer requirements and corresponding oversight. We are looking for someone to work closely ... structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO… more
- TD Bank (New York, NY)
- **Work Location:** Mount Laurel, New Jersey, United States of America ** Hours :** 40 **Pay Details:** $68,640 - $112,320 USD TD is committed to providing fair and ... This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations such as… more
- Broadridge Financial Solutions (New York, NY)
- …by the capture of the consulting engagement and/or utilization, (ie, by billable hours for the department) or performance against budget. -Plan, monitor and manage ... delivering technology-driven solutions that drive digital transformation for banks, broker -dealers, asset and wealth managers and public companies. At Broadridge,… more
- Siebert Williams Shank (New York, NY)
- …and a sound regulatory capital base. We are a SEC-registered securities broker -dealer and member of the Financial Industry Regulatory Authority (FINRA) and the ... WhatsBest!) is desirable + Highly self-motivated, well-organized, and willing to work long hours when needed + Ability to prioritize tasks, react to changes, solve… more
- Capital One (New York, NY)
- …management mindset with working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC / NFA) activities. + ... for part-time roles will be prorated based upon the agreed upon number of hours to be regularly worked. Charlotte, NC: $240,300 - $274,300 for Sr. Dir, Product… more
- TD Bank (New York, NY)
- **Work Location** : New York, New York, United States of America ** Hours :** 40 **Line of Business:** Compliance **Pay Detail:** $75,000 - $95,000 USD TD is committed ... a similar degree required. + 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the ability to work independently.… more
- Colgate-Palmolive (New York, NY)
- …growth opportunities + Build and nurture partnerships across cross-functional teams, and broker retail teams-fostering a culture of trust and integrity + Coach and ... a minimum of 15 vacation/PTO days (hourly employees receive a minimum of 120 hours ) and 13 paid holidays (vacation days are prorated based on the employee's hire… more
- Janus Henderson Investors (New York, NY)
- …and hedging docs with street counterparties (ISDA, MSFTA) + Establishing prime broker or other relationships necessary for trading access (eg, rate and/or equity ... programs including a 14er challenge + Complimentary beverages, snacks and all employee Happy Hours Must have skills + BS or BA required; major in finance, business,… more