- Guardian Life (New York, NY)
- The Broker Dealer Operations Specialist plays a central role in delivering world‑class customer and transaction servicing for alternative investment products. ... In addition to salary, this role may also be eligible for annual, sales , or other incentive compensation. **Our Promise** At Guardian, you'll have the support… more
- Ford Motor Company (Albany, NY)
- …and compliance. + **Performance & Growth: ** Using data analytics to assess dealer sales and overall performance against company benchmarks, you'll identify ... with our Dealer Network to influence, develop and implement retail sales strategies, build strong consultative skills, and contribute to the success of… more
- TD Bank (Brooklyn, NY)
- …recommendations aligned to their client's goals. The role will serve as the central point of contact, responsible for providing client service & developing the ... for TD Wealth clients + Meets quarterly and annual sales goals + Deepens wallet share by anticipating client...This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA… more
- HSBC (New York, NY)
- …will: + Interact with and provide real-time, compliance advisory support to Trading and Sales teams across Fixed Income and Foreign Exchange markets as they seek to ... a finance or business related field + Experience in a bank or broker- dealer , covering fixed income and/or foreign exchange markets, or comparable experience. +… more
- TD Bank (New York, NY)
- …banks with operations spread across 31 cities globally. TDS is a top two dealer in Canada with a growing US business and global execution capabilities and is ... the Vice President role includes (but not limited to): + Financial Institutions Sales and Relationship Management for targeted clients and markets. + Meet and exceed… more
- Neuberger Berman (New York, NY)
- …in New York. This person will report into the Chief Compliance Officer - Central Compliance. In this role, the primary focus is surveillance and monitoring, with ... the firm **Requirements:** + 1 - 5 years of investment advisory or broker- dealer compliance experience + Bachelor's degree required + Experience with equity and… more