- TD Bank (New York, NY)
- …businesses, functions and topics, including operations, finance, regulatory reporting, and sales and trading, and prepare business personnel for meetings with ... 2 years of experience with a registered US broker dealer or regulator. + Problem solving skills and the...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- TD Bank (New York, NY)
- …degree + 10 or more years of experience in, with a registered US broker dealer or regulator, Branch Inspections testing a plus. + Strong knowledge of SEC, FINRA and ... regulatory requirements. + Strong Knowledge of operations, finance, regulatory reporting, sales and trading, and applicable rules and regulations, and the ability… 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 + ... Knowledge of operations, finance, regulatory reporting, sales and trading, at a global financial institution. +...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Neuberger Berman (New York, NY)
- …+ 3-5 years' experience in registration, licensing, or compliance within a broker- dealer or investment adviser + Proactive, self-motivated, and highly organized + ... seniority, geographic location, business sector, performance, shift, travel requirements, sales or revenue-based metrics, market benchmarking data, any collective… more