- TD Bank (New York, NY)
- …Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global financial ... including by demonstrating excellent time management and planning skills. + A relationship builder with the ability to establish, develop and maintain effective… more
- Raymond James Financial, Inc. (New York, NY)
- …matter expert on matters pertaining to regulatory reporting and broker dealer operations by maintaining proficient knowledge of applicable regulations and ... the required compliance systems for the firm while fostering a positive relationship with department employees and management. + Responds to and oversees responses… more