- TD Bank (New York, NY)
- …Securities. The Audit Director leads diverse teams of professionals in the overall management of the audit function. **Depth & Scope:** + Provides people ... management leadership by hiring the best talent, setting goals,...relevant industry and/or audit experience + Strong understanding of Broker- Dealer operations, Investment Banking, Research, and Capital Markets +… more
- TD Bank (New York, NY)
- …This team has oversight of TD's retail banking, commercial banking, and broker dealer funding activities. Working knowledge of key liquidity regulations such as BCBS ... of experience **Preferred Qualifications:** + Experience or knowledge of Liquidity Management , especially Intraday Liquidity Management , Collateral + Monitoring/… more
- Lincoln Financial (Albany, NY)
- …General Account Invested Assets on a Statutory, GAAP (specifically SEC reporting), Management and Tax basis and assisting with performing and documenting SOX ... investment reporting of General Account Invested Assets under applicable Statutory, GAAP, Management and Tax basis. You will specifically be responsible for the… more
- TD Bank (New York, NY)
- …and tracking related to examinations and regulatory findings. + Assist with the management and tracking of regulatory inquiries. + Assist with monthly and ad hoc ... 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the...for area of responsibility + Works with business unit management /partners to develop proactive strategies, tactics, policies and programs… more
- OTC Markets Group Inc (New York, NY)
- …owns critical processes across conference operations, sales, marketing, and product management , utilizing sophisticated proprietary event management and 1x1 ... this position includes advancement into senior event operations, client relationship management , or business development roles, with opportunities to take on greater… more
- Bank of America (New York, NY)
- …an independent assessment of the quality of credit decisioning, portfolio management , risk recognition practices and the effectiveness of credit processes across ... emerging risks, and reports its findings to various stakeholders, including executive management , the Board of Directors or committee thereof, external auditors and… more
- Lincoln Financial (Albany, NY)
- …investment accounting for the General Account Invested Assets on a Statutory, GAAP, Management and Tax basis. They will be responsible to perform more complex ... enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.… 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 ... and executes quarterly business development plans in accordance with sales management 's objectives surrounding the marketing and promotion of investment products and… more
- Lincoln Financial (Albany, NY)
- …and emerging developments/trends for cyber security related to third party risk management and third party contracting. + Manages a team of analysts responsible ... strategic process improvements that significantly improve the quality of third party risk management and due diligence. + Responsible for management of IT Audit… more
- TD Bank (New York, NY)
- …deficiencies to key stakeholders, and exercise credible challenge. + Support issue management , and support a culture of compliance across the enterprise. + ... with business partners, auditors and/or regulators + Contact for business management , regulators and external/internal auditors with assistance from Management ,… more