- Siebert Williams Shank (New York, NY)
- …and support senior bankers in business development efforts. SWS is a full- service investment banking and financial services company dual-headquartered in New ... and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in...national leader in public finance investment banking, a named dealer on more than 50 commercial paper programs, and… more
- TD Bank (New York, NY)
- …not required. + 5-7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... organizational, leadership and communication (oral and written) skills. + Client service skills - experience demonstrating sound judgment and close partnership with… more
- TD Bank (New York, NY)
- …not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... organizational, leadership and communication (oral and written) skills. + Client service skills - experience demonstrating sound judgment and close partnership with… more
- TD Bank (New York, NY)
- …but not required. + 7 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... organizational, leadership and communication (oral and written) skills. + Client service skills - experience demonstrating sound judgment and close partnership with… more
- TD Bank (New York, NY)
- …not required. + 7-10 years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated regulator. ... organizational, leadership and communication (oral and written) skills. + Client service skills - experience demonstrating sound judgment and close partnership with… 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 ... of business operations and stakeholder needs. + Consult on new products, services and automated systems to assist with incorporating compliance requirements into… 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 ... department projects and initiatives. **You have** + Broad knowledge of the financial services industry and FINRA, SEC and State rules and regulations along with a… 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 + ... + Assist with ad-hoc projects and/or workflow testing as assigned by Manager + Assist with coaching and training Registered Representatives when applicable +… more
- Atria Wealth Solutions (Corning, NY)
- …completing required continuing education and keeps current on investment products and services offered. Meets regularly with Program Manager and trains, if ... Through its relationship with CUSO Financial Services , L. P. (CFS) First Heritage Federal Credit...drive and passion to deliver the highest level of service to credit union members and clientele to help… more
- LandPro Equipment LLC (Clymer, NY)
- …Pay, Close to Home, Easy Application Process -Apply Today Position Specifics: Department: Service Reports To: Service Manager or Location Manager ... service repairs, and maintenance work on customer and/or dealer -owned turf equipment. May require some direction or guidance...equipment. May require some direction or guidance from the Service Manager , Location Manager , Shop… more