- MUFG (New York, NY)
- …team will provide more details. **Main Responsibilities:** The US and Canada Broker Dealer Treasury team is part of the HoldCo Treasury, Capital Management ... directly to the Treasurer, the AVP will have involvement in all broker dealer treasury functions including funding and liquidity risk management, asset liability… more
- Zurich NA (New York, NY)
- VP, Head of US Cargo 125738 What can go...focused on profitable growth and superior service to our broker partners and customers. We are looking for someone ... serve. Zurich North America is hiring an experienced VP, Head of Cargo to join our Specialties Accounts team...business or segment (Cargo) Preferred Qualifications: * CPCU *Established Broker partnerships in New York area. * Strong knowledge… more
- Capital One (New York, NY)
- Head of Product, Commercial Bank Capital Markets **Capital Markets | Head of Product | Senior Director** The Capital Markets Group is a high growth business ... equity and structured products) and customer derivatives. As the Head of Product for Capital Markets you will be...working knowledge of regulatory requirements relevant to the bank's Broker Dealer (SEC / FINRA) and Swap Dealer (CFTC… more
- Guardian Life (New York, NY)
- Our Head of Annuity and Retirement Marketing will lead marketing strategy and support for the annuity line of business, reporting to the Head of Product ... execute with excellence. Key stakeholders include Product Development, Distribution, Compliance , Legal, Technology, and outside vendors. **Responsibilities:** + Responsible… more
- TD Bank (New York, NY)
- …for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Wealth Remediation is responsible for expanding and managing regulatory oversight ... partnering with US Wealth Senior Leadership Team, Federated Partners ( Compliance , Legal), and AMCB Consumer Bank teams to ensure...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TD Bank (New York, NY)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Wealth Business Management / Administration is a critical executive role ... role will also lead first-line engagement and activities with Compliance and Legal with respect to Office of Supervisory...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TD Bank (New York, NY)
- …details for this role. **Line of Business:** TD Wealth **Job Description:** The Head of Investment Product is responsible for formulating strategy that is required ... with risk appetite + Ensures all products are in compliance and meet all regulatory requirements **Education & Experience:**...**OCC:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements… more
- TD Bank (New York, NY)
- …and facilitating the US Compliance Risk Assessment and reports up into the US Head of Compliance Programs + Supports the management of the Compliance ... can provide you more specific details for this role. **Line of Business:** Compliance **Job Description:** **Department Overview:** **Why Work with Us?** At TD Bank… more
- TD Bank (New York, NY)
- …and execution of the annual Compliance Test Plan. + Work closely with the Head of Compliance Monitoring and Testing and the other Compliance Testing ... United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $180,000 - $225,000 USD TD is...or more years of experience with a registered US broker dealer or regulator. + JD desirable but not… more
- Guardian Life (New York, NY)
- …and accountability for delivering on commitments timely. **Reporting Relationships** As our Financial Compliance Analyst, you will report to the Head of ... best-in-class Law Department. We drive a high-performance culture across our Legal, Compliance , and Government Affairs functions, aligned to "what" we deliver (ie,… more