- 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
- 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)
- …in New York and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in public finance investment banking, ... a named dealer on more than 50 commercial paper programs, and...agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital… more
- Guardian Life (Albany, NY)
- …environment in the branch office. + Timely communicate preliminary findings to your manager and branch office management verbally and then in writing. + Assist, as ... of state insurance laws (inclusive of NAIC). + 3-5 years of broker- dealer and registered investment advisor compliance experience, with experience at an… more
- TD Bank (Hicksville, NY)
- …service model/experience for TD Wealth clients + Meets quarterly and annual sales goals + Deepens wallet share by anticipating client needs and suggesting ... + 2+ years of providing advice, planning and investment sales + SIE, Series 7, Series 63 required +...This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA… more
- Atria Wealth Solutions (Corning, NY)
- …keeps current on investment products and services offered. Meets regularly with Program Manager and trains, if necessary, with Program Manager . + Drives ... relationship center professionals and identified credit union leaders regarding sales practices and business development initiatives. Work with Relationship Center… more
- LandPro Equipment LLC (Clarence Center, NY)
- …operating procedures. Responsibilities: + Transports equipment to/from customers and/or between dealer facilities + Supports the sales department with equipment ... Process -Apply Today Position Specifics: Department: Service Reports to: Service Manager or Location Manager Supervises: None Compensation & Benefits:… more
- Parksite (Farmingdale, NY)
- …at customer locations 2. Act as part of a team consisting of a Territory Manager and Inside Sales Representative 3. Set up for product shows & contractor ... development and placement, conducting in-store product knowledge sessions with dealer salespeople. KEY RESPONSIBILITIES 1. Install and maintain product displays… more
- TD Bank (New York, NY)
- …with both the corporate and investing clients. + Internally partnering with Sales & Trading, Research, and Banking/ECM. + Externally partnering with buyside clients ... for driving revenue via meeting allocations, work directly with sales / sales trading to monetize. + Develop and...trade + Ensures all trades are confirmed with the broker/ dealer + Inputs trades (post execution), and Verifies transactions… more
- Monroe Tractor (Campbell, NY)
- …Tractor is a well-known and respected construction equipment and agricultural equipment dealer with over 70 years of experience servicing the northeastern US. With ... Connecticut, and Massachusetts, we pride ourselves on providing best-in-class sales and support to over 15,000 hardworking customers. Since...in scheduling of service work. + Keep the service manager informed on all work orders. + Assist with… more