- Lincoln Financial (Albany, NY)
- …#:** 74954 **The Role at a Glance** We are excited to bring on a Manager to join our Dedicated Social Security team supporting Group Protection. This position will ... business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package. **About The Company** Lincoln… more
- TD Bank (New York, NY)
- …group responsible for delivering: . Fixed Income cash securities pricing . FI Dealer -to- Dealer order execution . FI Dealer -to-Client quoting solutions . ... FI automated execution capabilities . FI cash risk calculation . Sales technology . Trade capture and management services Position Overview Description As part of… more
- Santander US (New York, NY)
- …for Equity Principal Trading and Cash desks. + Owns the enablement of customer / sales enablement on the dealer to customer markets + Candidate will troubleshoot ... Equity, Electronic Trading serves as a support personnel and/or project manager for multiple application initiatives. Analyzes, designs, develops and maintains… 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
- Citigroup (New York, NY)
- …issues escalated + Review and approval of designated bank-channel and broker- dealer investments + Manage surveillance alerts within stated policy guidelines + ... not limited to, Compliance, Legal, AML, Regional Business Risk, Regional COO and Sales Management + Assist with ad-hoc projects and/or workflow testing as assigned… more
- 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 ... audits and examinations. + Provides regulatory perspective on business group's sales and marketing materials. + Anticipates/ identifies and analyses 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
- TD Bank (New York, NY)
- …and escalates key issues arising from Global Markets trading, sales and origination business activities; and executes delegated supervision accountabilities ... regulatory requirements. TD has been growing its US Broker Dealer activities over the last few years both organically...The candidate will collaborate closely with Business Supervisors, trading, sales and origination teams, as well as Second Line… more
- Monroe Tractor (Syracuse, NY)
- …Plans Responsibilities + Perform administrative and secretarial functions to support the Store Manager and the Sales , Parts and Service Departments. + Greet ... Tractor is a well-known and respected construction equipment and agricultural equipment dealer with over 70 years of experience servicing the northeastern US. With… 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 ... product life cycle, quality, technical support, marketing programs and sales support + Oversees the creation of product roadmaps...This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA… more