- Guardian Life (New York, NY)
- …and home office personnel + Field inquiries related to transition and broker dealer acclimation + Advocate for & teach colleagues, agency partners, and financial ... projects and ongoing recruitment strategy **You have** + 3-5 years of broker- dealer operations or service experience + Ability to create strong working relationships… more
- Mizuho Corporate Bank (New York, NY)
- …to add value and improve Mizuho Bank's US operations including derivative activities, broker dealer and swap dealer businesses. Based in the New York Metro area, ... of work experience performing one of the following- model validation, model development , risk management or related fields. - Strong oral communication and technical… more
- ManpowerGroup (New York, NY)
- …asset classes, especially: + Fixed IncomeOTC fixed income instruments, RFQs, or dealer -to- dealer workflows exposure to rates, credit, and structured products + ... critical compliance initiatives that shape the organization. + Professional development and mentorship opportunities. + Collaboration with experienced compliance… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... Profile Summary:** The Compliance Governance & Operations Manager leads the development and implementation (or lead support) of enterprise Compliance programs,… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... US product suite and its ongoing product management and development . This role leads the development and...This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... Officer within Regulatory Relations Core Compliance assists in the development and execution of core compliance programs and processes...2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... Investment product suite and its ongoing product management and development . This role leads the development , implementation,...This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... and Risk and Capital Studio), is responsible for the development and support of our derivatives (Interest Rate, FX,...and strategy to grow both our platforms and the dealer as a whole. The successful candidate is expected… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... newly created team within US Wholesale Compliance focused on remediation and program development and improvement within TDS. This Director role will focus on driving… more
- TD Bank (New York, NY)
- …and equitable compensation opportunities to all colleagues. Growth opportunities and skill development are defining features of the colleague experience at TD. Our ... team within US Wholesale Compliance focused on remediation and program development and improvement within TDS. **Compliance Regulatory Initiatives - Training** +… more