- New York Life Insurance (Melville, NY)
- …disability income insurance, and investment products such as mutual funds through our broker - dealer , NYLIFE Securities LLC (member of FINRA and SIPC), a Licensed ... can offer investment products. Phase 2: Your transition to Associate Partner After meeting specific requirements during the first...have opportunities to grow and be promoted to increasingly senior levels of management. How we will compensate you… more
- SMBC (New York, NY)
- …function to the President and is responsible for overseeing the management of the broker dealer 's compliance risk and is represented by the Chief Compliance ... Compliance, IT Risk and Training committees. The Compliance Advisory Associate role assists in managing coverage areas or processes...years of regulatory and/or advisory compliance experience at a broker dealer . + A solid foundation in… more
- SMBC (New York, NY)
- …Assist in preparing high quality materials for Risk Committees (Tier 1 and 2), Swap Dealer and Broker Dealer oversight forums - Help review policies, ... Combined US Operations (CUSO), the SMBC Capital Markets Swap Dealer , and Nikko Securities America's Broker - Dealer...Associate will work closely with the team and senior stakeholders across Risk, Compliance, Legal, Operations, and Front… more
- Ankura (New York, NY)
- …significant portion of all licensed US money transmitters. We are seeking a Senior Associate , Licensing Acquisition, to join the team. Ideally this role ... commercial lending, mortgage lending, consumer collections agencies and securities/brokerage [ broker dealer , registered investment advisor, exempt registered… more
- TD Bank (New York, NY)
- …but not required + 5 or more years of experience with a registered US broker dealer , swap dealer , Global Systematically Important Bank (GSIB), or associated ... more specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the...or more years of experience with a registered US broker dealer or regulator. + JD desirable… more
- Kestra Financial (Kings Park, NY)
- …and record keeping adheres to compliance standards + Successfully partner with Broker Dealer for new account establishment, account maintenance, and compliance ... in pursuit of business objectives + Other responsibilities as assigned by the Senior Client Service Associate Knowledge, Skills, and/or Abilities + Advanced… more
- Intercontinental Exchange (ICE) (New York, NY)
- …a regulated entity, with knowledge of the Investment Advisers Act. Knowledge of broker - dealer and/or CFTC regulations a plus. + Strong communication skills. + ... the world and across assets. The purpose of this role is to support the Associate General Counsel in advising and supporting a wide range of legal matters across the… more
