- SMBC (New York, NY)
- …compensation paid in their geography and the market for similar roles at the time of hire. The role may also be eligible for an annual discretionary incentive ... Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development,...take initiative and work well both independently, and as part of a team in a fast-paced entrepreneurial environment… more
- Capital One (New York, NY)
- …of these locations, and refers to the amount Capital One is willing to pay at the time of this posting. Salaries for part - time roles will be prorated based ... Careers website (https://www.capitalonecareers.com/benefits) . Eligibility varies based on full or part - time status, exempt or non-exempt status, and management… more
- Citigroup (Getzville, NY)
- …reports to OFR, FINRA, and FRB of NY. This role will also take part in routine monitoring of Operations related regulatory capital charges and customer reserve ... skills. + 4+ years of related experience in the banking / broker- dealer industry. + Material experience with operational risk disciplines; processes, risks and… more
- Bosch (New York, NY)
- …founder Robert Bosch, we offer a setting where social and environmental responsibility are part of our corporate DNA. Always mindful of our impact on the future, we ... sales opportunities in retail, industrial, and e-commerce channels, we're part of a global powerhouse earning $80 billion euros...marketing and local team to execute events at the dealer , on-site, and at local trade unions to drive… more
- Guardian Life (New York, NY)
- Guardian life is seeking an Advisor Transitions Specialist who will be a critical part of a team that supports the growth of our firm. **You are** + A team player ... financial professionals, general agents, and senior management + Excellent with time management and have strong organizational skills + Interested in financial… more
- TD Bank (New York, NY)
- …have been designed to allow colleagues to progress through the salary range over time as they progress in their role. The base pay actually offered may vary ... mission to build a more resilient and scalable compliance risk management function. As part of our team, you'll play a key role in reshaping compliance structures… more
- Guardian Life (Albany, NY)
- …that advance Guardian's purpose, priorities, and values. Do you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, with experience at an… more
- Broadridge Financial Solutions (New York, NY)
- …financial services executives. 8-10 years of experience. + 10+ years of either Broker- Dealer Operations Experience or Broker- Dealer Sales Experience + Ability to ... skills + Self-starter with attention to detail and strong time and territory management skills Salary range $175,000.00- $195,000.00.... A certified Great Place to Work, Broadridge is part of the S&P 500 Index, employing over 14,000… more
- C-4 Analytics (New York, NY)
- …acquisition. C-4 Analytics is committed to developing innovative solutions for every dealer in every market, and to providing the highest levels of accountability ... a range of benefits, including career development programs, paid time off, and additional perks. All are welcome to...to close business with new prospects. You'll be a part of a consultative sales process that requires engagement… more
- BMO Financial Group (New York, NY)
- …and qualifications for the role, and may include a commission structure. Salaries for part - time roles will be pro-rated based on number of hours regularly ... New York with a focus on FINRA and SEC broker- dealer requirements and corresponding oversight. We are looking for...a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail… more