- Citigroup (New York, NY)
- …the trading franchise through a technical lens. We are a primary dealer in market rates products including government securities across multiple jurisdictions and ... with control functions such as Legal, Compliance, Market and Credit Risk, Audit, Finance in order to ensure appropriate governance and control infrastructure + Build… more
- Manulife (New York, NY)
- …In this role of Director, you will work closely with Compliance, Operations, Finance and Investor Relations to help ensure complete AML/KYC is conducted on all ... Partner with internal stakeholders (Investor Relations & Client Service Teams, Finance , Compliance, Legal and Risk) on required AML/TF compliance program… more
- Manulife (New York, NY)
- …In this role of Director, you will work closely with Compliance, Operations, Finance and Investor Relations to help ensure complete AML/KYC is conducted on all ... Partner with internal stakeholders (Investor Relations & Client Service Teams, Finance , Compliance, Legal and Risk) on required AML/TF compliance program… more
- 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 ... functions. + Bachelor's Degree or equivalent work experience in Finance , Economics, Management Information Systems, Statistics or equivalent field (Required)… more
- Equitable (New York, NY)
- …to optimize fund profitability + Contributing to regular discussions with the broker dealer related to the group's model portfolios and retail mutual fund complex ... **Qualifications** **Required Qualifications** + Bachelor's Degree, preferably in Business, Finance , or Accounting + 3 years of experience in a… more
- TD Bank (New York, NY)
- …Qualifications:** + 10 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required. + Knowledge of operations, ... finance , regulatory reporting, sales and trading, and applicable rules and regulations, and the ability to learn new areas while supporting them. + Excellent… more
- Mizuho Corporate Bank (New York, NY)
- …regulatory rules and will contribute analysis and translation of various Broker- Dealer regulatory requirements in collaborations with other stakeholders (eg, legal, ... or equivalent combination of education and work experience required. Accounting or Finance concentration preferred + 4+ years of work experience preferred at a… more
- Lincoln Financial (Albany, NY)
- …with the specific responsibilities of this position. * Bachelor's degree in Accounting, Finance , Business, Data Analytics, or a related field. * CIA, CAMS, CIPP, ... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- JPMorgan Chase (New York, NY)
- …including the business, Legal, Risk, Control Management, Technology, Internal Audit, Finance & Business Management and other control functions across the firm's ... + Expertise in financial investment products and services offered by a broker- dealer and investment adviser (eg investments such as fixed income, equity, listed… more
- Kestra Financial (Wappingers Falls, NY)
- …eMoney + Morningstar Advisor Workstation Education and/or Experience + Bachelor's degree in finance , accounting or related field + The ideal candidate will have 3+ ... in the financial services industry allowing for a strong understanding of broker/ dealer operations and financial services products, including but not limited to:… more