- Bank of America (New York, NY)
- Credit Review Senior Portfolio Manager Charlotte, North Carolina;Dallas, Texas; Chicago, Illinois; New York, New York **To proceed with your application, you must be ... must be at least 18 years of age.** Acknowledge (https://ghr.wd1.myworkdayjobs.com/Lateral-US/job/Charlotte/Credit-Review- Senior -Portfolio-Manager\_25028992) **Job Description:** At Bank of America, we are… more
- Guardian Life (Albany, NY)
- …you want to be part of a collaborative Compliance Legal Team? As a Senior Compliance Analyst, Park Avenue Securities, and Park Avenue Investment Advisory, you will ... 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 (Getzville, NY)
- …skills. + 4+ years of related experience in the banking / broker- dealer industry. + Material experience with operational risk disciplines; processes, risks and ... a plus. + Familiarity with SEC Rule15c3-1 & 15c3-3, brokerage accounting, and broker- dealer regulatory filing is a plus. + Strong interpersonal skills and ability to… 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 ... knowledge of multiple FICC market activities preferred including: Primary Dealer , GSEs, Trade reporting (TRACE), communications, supervision, best execution/order… more
- Deloitte (New York, NY)
- Senior Consultant, Anti-Money Laundering Analytics About Deloitte Regulatory, Risk & ForensicOur Deloitte Regulatory, Risk & Forensic team helps client leaders ... and subject matter experts from throughout Deloitte. Responsibilities typical of an analytics Senior Consultant on one of these projects may include: + Work with a… more
- Lincoln Financial (Albany, NY)
- …**Requisition #:** 74448 **The Role at a Glance** We are seeking an enthusiastic Senior IT Auditor who is a self-starter and initiative driven, ready to take ... to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial… more
- Amazon (New York, NY)
- …We're on a journey to build something new! We're seeking an exceptional Senior Product Designer to shape the future of automotive experiences at Amazon Autos. ... solutions that transform how millions of customers buy cars and a nationwide dealer network sell cars. Your work will directly influence Amazon's automotive strategy… more
- Arrow Financial Corporation (Glens Falls, NY)
- …Currently, we are looking for an experienced professional to join Finance team as: Senior Staff Accountant This opportunity may be perfect for you if you have ... journal entries (JE) for a variety of categories such as Pension, dealer reserves, expense accruals and other areas assigned. > Support staff accountant(s)… more
- Citigroup (Getzville, NY)
- The Regulatory Reporting role is a senior analyst position within the CGMI Segregation Oversight team, which is responsible for executing daily controls to mitigate ... for ad-hoc analysis, such as filtering, sorting, pivoting, lookups, etc. + Broker/ Dealer books and records fluency, such as stock record **Education:** +… more
- Bank of America (New York, NY)
- …(EWI); up-front engagement of Liquidity Risk & LOB team and approval via senior executives and broker- dealer Board of Directors, as appropriate. Monitor and ... and Financing businesses and any concerns are appropriately escalated to senior management. Perform independent analysis to generate an independent viewpoint and… more