- BMO Financial Group (New York, NY)
- …Income Compliance team in New York with a focus on FINRA and SEC broker- dealer requirements and corresponding oversight. We are looking for someone to work closely ... knowledge of multiple FICC market activities preferred including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more
- Atria Wealth Solutions (Corning, NY)
- Through its relationship with CUSO Financial Services, L. P. (CFS) First Heritage Federal Credit Union is seeking a Financial Advisor to provide retirement and ... keeps current on investment products and services offered. Meets regularly with Program Manager and trains, if necessary, with Program Manager . + Drives… more
- 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
- Synchrony (New York, NY)
- …and Lifestyle with recommended strategies across large integrated partners and a fragmented dealer base as well as across multiple products + Ensure the annual ... services/payments/consumer finance space + Minimum of 5 years of relationship management and leadership experience, including working with cross-functional business… more
- TD Bank (New York, NY)
- …and structured products + Manages investment management product including strategies and manager 's available on the platform + Manages solicitation policy for all ... - ability to stay resilient under pressure + Demonstrated relationship building skills, with a superior ability to make...This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA… more
- TD Bank (New York, NY)
- …communication and interpersonal abilities for top-tier client interaction and relationship management. + Deep understanding of regulatory compliance and risk ... This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …communication and interpersonal abilities for top-tier client interaction and relationship management + Deep understanding of regulatory compliance and risk ... This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …the tough people and business decisions + Strong interpersonal and relationship management skills required + Excellent communication skills, written, verbal and ... This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Lincoln Financial (Albany, NY)
- …interrogatories, supplemental interrogatories etc.). + You will serve as a project manager for investment accounting and reporting related team projects. + You will ... to lead and manage team projects through successful completion. + Strong relationship management skills with internal clients (eg management, peers and colleagues)… more
- TD Bank (New York, NY)
- …Qualifications:** + 7 or more years of experience with a registered US broker dealer , regulator, or global financial organization. + JD desirable but not required + ... work collaboratively on teams of varying size. + A relationship builder with the ability to establish, develop and...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more