- Guardian Life (New York, NY)
- …standards impacting Guardian's retail wealth management business, including its affiliated broker- dealer and investment adviser entities. + Assist with the Firm's ... state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, experience at an insurance-affiliated… more
- SMBC (New York, NY)
- …of products, including Capital Markets (DCM, Capital Solutions, ABS, CLOs), Sales and Trading (Fixed Income), Trade Finance, Structured Financing (including ... the Financial Institutions Group will be responsible for Banks and Broker Dealer client coverage, including all aspects of client development, new business… more
- MUFG (New York, NY)
- …responsible for supporting the firm's initiative to become a US Government Primary Dealer . The candidate will work with various internal and external stakeholders in ... for the Flow Products Rates and Credit Trading Desks and Institutional Investor Sales Desks. RESPONSIBILITIES + In depth knowledge of the various FR2004 reporting… more
- TD Bank (New York, NY)
- …required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. + ... Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global financial… more
- S&P Global (New York, NY)
- …This service is supported by global sell-side desks that are active in sales and trading, promoting market liquidity and pricing transparency. The pricing data team ... + Liaising with and maintaining our relationships with the dealer trading desks, and IPV Teams to obtain the...contributors will ensure smooth operations, while liaising with the sales team on product specifics will enhance our collective… more
- BMO Financial Group (New York, NY)
- …Compliance ("FICC") 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 ... regulatory audits and examinations. + Provides regulatory perspective on business group's sales and marketing materials. + Anticipate/ identify and analyze risk and… more
- Siebert Williams Shank (New York, NY)
- …corporate debt, a national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and a seasoned and successful ... share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a SEC-registered… more
- The Raymond Corporation (East Syracuse, NY)
- …seeking a passionate and detail-driven Parts Customer Service Specialist to support our dealer network and internal customers with precision and care. In this role, ... Doing: * Respond to complex or sensitive customer and dealer inquiries by Request for Assistance (RFA), phone and...Handling North America (TMHNA), the industry leader in forklift sales , comprises two main brands: Toyota Material Handling and… more
- CIBC (New York, NY)
- …Regulatory Supervision is primarily responsible for the supervision of all US sales and trading desks within Global Markets. The supervisory program is designed ... Succeed** + Supervise and conduct surveillance of the US registered broker- dealer securities trading products, as well as OTC derivative/swap trading products,… more
- Guardian Life (Albany, NY)
- …of state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, with experience at an ... insurance-affiliated broker/ dealer as a plus. + Prior examination, auditing or...salary, this role may also be eligible for annual, sales , or other incentive compensation. **Our Promise** At Guardian,… more