- Guardian Life (Albany, NY)
- …needs of prospects and clients and drive sales. + Work closely with Guardian's broker dealer (Park Avenue Securities ) to drive revenue through PAS's multifaceted ... product platform. + Educate producers, so they can effectively convey advanced planning recommendations to prospects and clients and educate a client's professional tax and legal advisors on concepts and techniques unfamiliar to them. + Demonstrate superior… more
- MUFG (New York, NY)
- …bridge between our operations teams and the underlying technology that powers our broker dealer settlement engine. The role demands deep expertise in trade flows, ... securities processing, cash management, and settlement across systems such...Maintain and update operating procedures, stay current on evolving broker ‑dealer settlement rules and regulatory requirements, and ensure adherence… more
- TD Bank (New York, NY)
- …reviewing audit activities for the various auditable entities that fall within TD Securities . The Audit Director leads diverse teams of professionals in the overall ... actions, as required + Designs, plans, and executes the Audit Plan for TD Securities US and Global Finance + Leads the broader divisional mandate to strengthen the… more
- Foresters Financial Services (Westbury, NY)
- …Financial Group(R) ("Cetera") is a leading network of independent retail broker -dealers empowering the delivery of objective financial advice to individuals, ... and institutions-based advisors the benefits of a large, established broker -dealer and registered investment adviser, while serving advisors and institutions… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- MUFG (New York, NY)
- …counterparty credit analysis on a range of counterparty types: banks, broker dealers, clearing houses, insurance companies, REITs, Mortgage originators and servicer ... PowerPoint skills are welcome. + Basic Product Knowledge: Knowledge of repos, securities lending and derivatives products is important. + Experience writing credit… more
- TD Bank (New York, NY)
- …Monitoring & Investigations **Reports to:** Director, Financial Crime Risk Oversight, TD Securities , US **Position Summary** The US FCRM TDS Business Oversight team ... supports TD Securities in developing, implementing, and maintaining a robust financial...knowledge and experience in AML compliance, preferably within the broker -dealer industry at a large financial institution. + Excellent… more
- TD Bank (New York, NY)
- …PC skills required **OCC Language:** + This position is with a FINRA member, broker and/or dealer and is subject to the requirements of FINRA and Securities ... organization, are required by federal law for this position **Who We Are** TD Securities offers a wide range of capital markets products and services to corporate,… more
- SMBC (New York, NY)
- …SMBC Group offers a diverse range of financial services, including banking, leasing, securities , credit cards, and consumer finance. The Group has more than 130 ... in the Americas include Sumitomo Mitsui Banking Corp. (SMBC), SMBC Nikko Securities America, Inc., SMBC Capital Markets, Inc., SMBC MANUBANK, JRI America, Inc.,… more
- Thrivent Financial (New York, NY)
- …before contracting. + Satisfactory background check, fingerprinting and securities registration and/or insurance licensing verification, if applicable. Compensation ... the marketing name for Thrivent Financial for Lutherans. Insurance products, securities and investment advisory services are provided by appropriately appointed and… more