- TD Bank (New York, NY)
- …management **Preferred Qualifications:** + Solid background/experience working in Capital Markets/ Financial Services industry across Equities asset class ... regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically...issues (eg 6-12 months) + Generally reports to a Senior Manager or above **Core Accountabilities:** Scope of Supervision… more
- TD Bank (New York, NY)
- …Documentation Team is an integral part of TD Securities. The group provides best-of-class service to business partners in TD Bank Financial Group (the Bank) ... risk. The position will be responsible for providing best-of-class service to clients of TD Securities and internal business...funds. + Lead or participate in internal calls with senior credit officers and front office contacts, as well… more
- KeyBank (Albany, NY)
- …Group (CSG) represents the Office of Supervisory Jurisdiction for Key Investment Services LLC. The Senior Associate-Central Supervision Principal reports to the ... group of KIS registered representatives on behalf of the bank channel broker- dealer . The Central Supervision Principal is responsible for the principal supervision… more
- TD Bank (New York, NY)
- …has enterprise wide impact or accountability. + Position deals with senior /executive management. + Key contact for business management, regulators and ... more years of experience with a registered US broker dealer or regulator. + JD desirable but not required....leadership and communication (oral and written) skills. + Client service skills - the candidate must demonstrate the judgment… more
- Scotiabank (New York, NY)
- …a full range of investment banking, credit and risk management products and services relevant to the financing and strategic development needs of our clients. Our ... also cross-sell the full range of wholesale products and services offered by the Scotiabank Group. Be part of...every future! **Purpose** In this role, you will provide senior compliance support for the Scotiabank US Sales and… more
- TD Bank (New York, NY)
- …Broker- Dealer operations, Investment Banking, Research, and Capital Markets + Senior leadership experience, ideally with a financial management background + ... on key control issues + Manages the audit function's financial budget within plan and risk parameters + Stays...offers a wide range of capital markets products and services to corporate, government, and institutional clients who choose… more
- TD Bank (New York, NY)
- …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. + ... of other firms + Conducts/oversees complex analysis and develop recommendations for business/ senior management based on findings + Interprets the impact and advise… more
- OTC Markets Group Inc (New York, NY)
- …York, NY - Full Time OTC Markets Group Inc., operator of premier US financial marketplaces, is seeking an Associate, Investor Access to join our Investor Access team ... engagement. The career path for this position includes advancement into senior event operations, client relationship management, or business development roles, with… more