- 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 ... audits and examinations. + Provides regulatory perspective on business group's sales and marketing materials. + Anticipates/ identifies and analyses risk and… more
- Lincoln Financial (Albany, NY)
- …interrogatories, supplemental interrogatories etc.). + You will serve as a project manager for investment accounting and reporting related team projects. + You will ... business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package. **About The Company** Lincoln… more
- Carrington (Albany, NY)
- …parties as required to resolve outstanding issues. + Communicates with Sales Management, Account Executives, Operations Manager , Disclosure Department, ... as required to resolve outstanding issues. + Informs Account Executive, Broker , and/or borrower about discrepancies in title, appraisals, credit, employment, income… more
- Siebert Williams Shank (New York, NY)
- …in New York and Oakland. SWS is a perennial leader as a co- manager of investment-grade corporate debt, a national leader in public finance investment banking, ... and successful share repurchase agent. All activities are supported by a robust secondary sales and trading platform, and a sound regulatory capital base. We are a… more
- 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...have regular career, development, and performance conversations with your manager , as well as access to an online learning… 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
- Lincoln Financial (Albany, NY)
- …strong relationships, and ability to execute effectively. This is not a project manager role. **What you'll be doing** What you'll be doing * Provides specialized ... business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package. **About The Company** Lincoln… more
- Carrington (Albany, NY)
- …conditions, stipulations or pre-funding requirements received. + Communicates with clients, sales teams and operations teams to resolve outstanding issues as they ... the operation. + Superior service levels offered to the broker as you're inside presence ensures every step of...in the most efficient manner possible. + Professional account manager 's partner with you and your brokers to add… more
- TD Bank (New York, NY)
- …**Preferred Qualifications:** + 5 or more years of experience with a registered US broker dealer or regulator. + JD desirable but not required + Knowledge of global ... financial institutions' operational, financial, sales and trading, and regulatory reporting activities and their...have regular career, development, and performance conversations with your manager , as well as access to an online learning… more
- Lincoln Financial (Albany, NY)
- …This includes installation, configuration, and sustainment of Dell Power Protect Data Manager (PPDM), Dell Networker backup and Dell Cyber Vault recovery software ... business unit and individual. Other rewards may include long-term incentives, sales incentives and Lincoln's standard benefits package. **About The Company** Lincoln… more