- TD Bank (New York, NY)
- …the equivalent experience at a regulatory body (eg, leading a bank or broker/ dealer exam team). + Surveillance experience at Financial Market Regulator (eg, SEC, ... FINRA, CFTC, NFA, or Exchange Market Surveillance department) is highly desired. + In-depth knowledge of trade and communications surveillance tools and vendors, for detecting market abuse and manipulation. + Product knowledge of FX, exchange traded products… more
- HUB International (New York, NY)
- …& Private Wealth (RPW) SEC registered investment advisor and limited purpose FINRA Broker- Dealer : The Deputy Chief Compliance and Risk Officer, will be a highly ... visible, senior leadership position, reporting directly into the Global/Executive Chief Compliance and Risk Officer, working closely with RPW senior leadership to collectively support the growing RPW business while mitigating risk and enhancing the SEC… more
- Monroe Tractor (Albany, 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 ... 18 locations throughout New York, Pennsylvania, Vermont, Connecticut, and Massachusetts, we pride ourselves on providing best-in-class sales and support to over 15,000 hardworking customers. Since our founding in 1951, the industries we serve have been… more
- Lincoln Financial (Albany, NY)
- …to help put their goals in reach. Lincoln Financial Distributors, a broker- dealer , is the wholesale distribution organization of Lincoln Financial. Lincoln Financial ... is the marketing name for Lincoln Financial Corporation and its affiliates including The Lincoln National Life Insurance Company, Fort Wayne, IN, and Lincoln Life & Annuity Company of New York, Syracuse, NY. Lincoln Financial affiliates, their distributors,… more
- JPMorgan Chase (New York, NY)
- …+ Expertise in financial investment products and services offered by a broker- dealer and investment adviser (eg investments such as fixed income, equity, listed ... options, margin trading, etc) and related SEC, FINRA, MSRB and other SRO rules and regulations + Highly disciplined, ability to make independent decisions and work with limited supervision while exceling in a dynamic, demanding environment as a core team… more
- Kestra Financial (Wappingers Falls, NY)
- …in the financial services industry allowing for a strong understanding of broker/ dealer operations and financial services products, including but not limited to: ... equities, bonds, options, mutual funds, annuities, insurance, and managed accounts + Previous experience in the independent financial services culture preferred Certificates, Licenses, Registration + Series 7 and 63 required + Series 65/66 preferred: (or… more
- Oshkosh Corporation (Albany, NY)
- …troubleshoot logic, and perform control system adjustments + Collaborate with dealer technicians via phone/email or on-site for troubleshooting assistance + Review ... technical documentation, manuals, and schematics to ensure accurate service procedures + Maintain detailed documentation through work order systems; ensure issue resolution and service reporting + Participate in OEM testing and equipment upgrades, as needed +… more
- Mizuho Corporate Bank (New York, NY)
- …capital calculations for all Mizuho Americas businesses and products (banking, broker- dealer and derivatives trading) under Basel III + Conduct quantitative analyses ... to explain variation in the risk capital under US and Japanese Basel approaches + Prepare and distribute risk capital reports, including rigorous data validation and effective commentary + Review, monitor, and manage risk capital budgets + Establish, document,… more
- Lithia & Driveway (Wappingers Falls, NY)
- …Technician you will perform vehicle maintenance as assigned in accordance with dealer and factory standards. + Perform minor maintenance, eg, changing engine oil ... and filters. + Perform complete vehicle maintenance inspection including tires, brakes, and all fluid levels. + Communicate appropriate customer vehicle repair and maintenance recommendations to the service advisor liaison. Qualifications: + Basic mechanical… more
- TD Bank (New York, NY)
- …in a highly focused operation, while being part of a major global investment dealer . Confidence in our US operations systems stems from the recognition of our ... in-depth industry knowledge and from our outstanding credit, structuring, research and distribution capabilities. At TD Securities you will continue to expand on your knowledge in the industry, gaining valuable experience while you develop into a senior… more