- Atria Wealth Solutions (Corning, NY)
- Through its relationship with CUSO Financial Services , L. P. (CFS) First Heritage Federal Credit Union is seeking a Financial Advisor to provide retirement and ... investment services to its member base in Corning, NY, and...drive and passion to deliver the highest level of service to credit union members and clientele to help… more
- Kestra Financial (Wappingers Falls, NY)
- …the financial services industry, allowing for a strong understanding of broker/ dealer operations and financial services products, including but not limited ... The Associate/ Service Advisor reports to the Lead Advisor and...This position requires a strong understanding of the financial services industry and products, and is critical in handling… more
- BMO Financial Group (New York, NY)
- Member of the broker/ dealer regulatory reporting team who will be responsible for the 15c-3 customer reserve calculation for BMO Chicago Branch, and as needed assist ... and other financial/statutory reporting matters. Works closely with business leaders, Finance Partners, and operations to ensure compliance with 15c3-3 governing BMO… more
- JPMorgan Chase (New York, NY)
- …Specialists responsible for the successful rollout and adoption of new products, services , and processes across the Chase Wealth Management organization. This role ... Travel required 50% of the time. **Qualifications** + Bachelor's degree in Business, Finance , or related field; advanced degree preferred. + 10+ years of experience… more
- TD Bank (New York, NY)
- …degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC, FINRA and ... other relevant regulatory requirements. + Strong Knowledge of operations, finance , regulatory reporting, sales and trading, and applicable rules and regulations, and… more
- Raymond James Financial, Inc. (New York, NY)
- …opportunities for improvement. Collaborate with cross-functional teams (eg, Transition Services , Marketing, Compliance) to ensure a seamless advisor onboarding ... compliance standards. Recruitment and talent acquisition strategies in financial services . Strategic planning and performance management. Business development and… more
- TD Bank (New York, NY)
- …and executes the trade + Ensures all trades are confirmed with the broker/ dealer + Inputs trades (post execution), and Verifies transactions meet company policies ... solid computer skills a must **Preferred Qualifications:** + Bachelor's degree in finance , business or related field; strong understanding of the financial markets +… more
- City National Bank (New York, NY)
- …with business areas, in addition to other support functions ( Finance , Technology). * Monitor legislative/regulatory/enforcement activity and trends for impacts ... compliance, regulatory compliance with respect to registered investment adviser products and services . * Minimum 5 years of financial services experience *Skills… more
- Mizuho Corporate Bank (New York, NY)
- …capital calculations for all Mizuho Americas businesses and products (banking, broker- dealer and derivatives trading) under Basel III + Conduct quantitative analyses ... presentation Preferred Skills + Bachelor's degree in mathematics, statistics or finance is preferred + Consulting experience with Financial Institutions preferred +… more
- Wells Fargo (New York, NY)
- …our clients' needs and positions Wells Fargo as a leader in financial services . The ideal candidate will have demonstrated experience within CIB Markets businesses ... including Equities Sales & Trading, Electronic Execution offerings, and the Equities Finance /FCM business. This candidate will be required to work closely with our… more