• JP Morgan Wealth Management - Private Wealth…

    JPMorgan Chase (New York, NY)
    …personalized investment solutions to clients by relying on thought leadership and relationship -building skills. Through a focus on relationship management, you ... and services are offered through JP Morgan Securities LLC (JPMS), a registered broker- dealer and investment advisor, member of FINRA and SIPC. Annuities are made… more
    JPMorgan Chase (05/31/25)
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  • Associate, Prime Brokerage Management

    BlackRock (New York, NY)
    …access to capacity for BlackRock's Investment platform through optimization of dealer risk capital and balance sheet resources. F&FRM is significantly involved ... and fixed income financing, Futures Clearing, PB and FCM relationship management, counterparty and liquidity risk management, and trading/financing documentation… more
    BlackRock (05/24/25)
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  • Director, Compliance - Testing Team Lead, TD…

    TD Bank (New York, NY)
    …testing professionals to support the program. + Liaise and build a strong relationship with key stakeholders across the Firm. + Engage and drive discussion with ... more years of experience with a registered US broker dealer or regulator. + JD desirable but not required....work collaboratively on teams of varying size. + A relationship builder with the ability to establish, develop and… more
    TD Bank (05/23/25)
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  • Senior -Wealth Lending Advisor

    TD Bank (New York, NY)
    …The Senior Wealth Lending Advisor is responsible for business development and relationship management on behalf of TD Bank with regards to Registered Investment ... implementing regulations, 12 CFR Part 1007; and is with a FINRA member, broker or dealer and is subject to the requirements of FINRA and Securities Laws. May (or may… more
    TD Bank (06/07/25)
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  • Data Protection Analyst (Backups)

    Lincoln Financial (Albany, NY)
    …with data protection operations, support and developing and maintaining the relationship with the off-shore team resources. Working with other infrastructure peer ... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
    Lincoln Financial (06/07/25)
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  • AVP, Group Benefits -Absence & Leave

    Lincoln Financial (Albany, NY)
    …funding as it relates to plan benefit offerings * Demonstrated strong relationship management skills with internal clients (eg sr management, peers and colleagues); ... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
    Lincoln Financial (06/05/25)
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  • Sr. Operational Risk Consultant

    Lincoln Financial (Albany, NY)
    …ability to identify and recommend processes improvements . Demonstrated strong relationship management skills with internal clients (eg senior management, peers and ... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
    Lincoln Financial (06/04/25)
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  • Financial Advisor

    TD Bank (Nanuet, NY)
    …central point of contact, responsible for providing client service & developing the relationship to achieve greater share of wallet by helping clients achieve their ... expertise of others **OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities Laws. May (or… more
    TD Bank (06/04/25)
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  • Vice President, Capital Markets Supervision…

    BMO Financial Group (New York, NY)
    …sales activities and applicable regulations surrounding them. + Knowledge of the Broker Dealer and Banking Regulations, which include but not limited to SEC, FINRA, ... with Python and other programming scripts skills a plus + Strong relationship management skills: ability to establish and manage multiple stakeholder relationships… more
    BMO Financial Group (06/03/25)
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  • Regulatory Reporting SME

    Capco, a Wipro Company (New York, NY)
    …remediation and system implementations. + Solid grasp of institutional Broker- Dealer operations, control frameworks, and technology impacts on trade reporting. ... complex regulatory concepts to clients. + Strong stakeholder management and relationship -building capabilities. + A Bachelor's degree (preferably in a related… more
    Capco, a Wipro Company (06/03/25)
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